Senior Policy Counsel
Apply NowCompany: Investment Industry Regulatory Organization of Canada
Location: Toronto, ON M4E 3Y1
Description:
Position Title:
Status:
Location:
Senior Policy Advisor or Senior Policy Counsel, Member Regulation Policy
12 Month Contract, Full-time (Hybrid)
Vancouver, Calgary, Toronto, Montreal
Reporting to either the Director, Financial and Operations Policy or the Director, Business Conduct Policy, the Senior Policy Advisor or Senior Policy Counsel is a member of the Member Regulation Policy Team (MRP) and is responsible for the development, drafting, review and approval of policy applicable to both investment dealers and mutual fund dealers. The Senior Policy Advisor or Senior Policy Counsel also participates in the other operational and day-to-day work of MRP.
Key Responsibilities:
Education/Experience:
Key Skills and Competencies:
Status:
Location:
Senior Policy Advisor or Senior Policy Counsel, Member Regulation Policy
12 Month Contract, Full-time (Hybrid)
Vancouver, Calgary, Toronto, Montreal
Reporting to either the Director, Financial and Operations Policy or the Director, Business Conduct Policy, the Senior Policy Advisor or Senior Policy Counsel is a member of the Member Regulation Policy Team (MRP) and is responsible for the development, drafting, review and approval of policy applicable to both investment dealers and mutual fund dealers. The Senior Policy Advisor or Senior Policy Counsel also participates in the other operational and day-to-day work of MRP.
Key Responsibilities:
- Develop and draft rules and guidance applicable to Dealer Members, working in collaboration with other internal staff and external stakeholders as required, including leading complex projects
- Responsible for the review and approval process of proposed Dealer Member regulation policy initiatives
- Provide support to advisory committees by preparing meeting materials and presenting policy initiatives to the committees
- Support and represent the organization externally, provide interpretation of rules applicable to Dealer Members, and conduct presentations to others (e.g., other regulatory staff, Dealer Members and other applicable stakeholders) on various matters of interest to the investment industry
- Responsible for mentoring of Policy Advisors or Policy Counsels
Education/Experience:
- University degree in law, business or equivalent
- Professional designation in field of specialization (i.e. called to the Bar in one or more Canadian provinces or territories, holds Chartered Professional Accountant designation in one or more Canadian provinces or territories, is a Chartered Financial Analyst charter-holder or holds an equivalent professional designation that is relevant to member regulation policy development)
- A minimum of 7 years of experience in securities regulation, including all aspects of regulatory policy development
- Strong dealer financial and operational knowledge and experience or strong dealer business conduct compliance and legal experience
- Demonstrated experience in leading projects and/or transactions
- Experience in regulatory policy development
Key Skills and Competencies:
- Keen interest in policy development
- Excellent verbal and written communication skills, including research and drafting skills
- Ability to take initiative, prioritize, manage time appropriately, and work independently with minimal supervision
- In-depth knowledge of investment dealer or mutual fund dealer rules and guidance
- Understanding of the structure of the investment industry and applicable legislation, Dealer Member compliance issues, and current policy issues affecting the investment industry
- Knowledge of the investment industry regulatory regime in other countries would be an asset
- Bilingual (English and French), a strong asset