Senior Investigation Counsel
Enforcement Branch
Permanent, Full Time
File #22-129
The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development.
We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.
The Enforcement Branch supports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of securities laws in Ontario. Staff works closely with other securities regulators, self-regulatory organizations and law-enforcement agencies to enhance initiatives to fight misconduct. A strong enforcement presence assists in protecting investors from unfair, improper or fraudulent practices and in fostering fair and efficient markets.
The Regulatory Enforcement Action Team within the Enforcement Branch is recruiting for a Senior Investigation Counsel who will work collaboratively in a dynamic, fast-paced environment on a multi-disciplinary team to identify legal issues, conduct legal research and analysis, and provide legal advice as it relates to investigations into potential breaches of Ontario securities law.
What’s in it for you?
Investigate challenging issues and work on high-profile and complex cases.
Be an integral part of a leading-edge team leveraging an innovative mix of traditional investigative techniques, data analytics, and open-source intelligence analysis to investigate and prosecute complex cases of Securities Act violations.
Work in a collaborative, progressive, and professionally diverse team.
Make a difference and have a meaningful impact on investors and participants in Ontario’s capital markets.
We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.
What will you do?
Apply investigative and industry experience to assess referrals and develop a structured investigation plan, adjusting and adapting the investigation strategy as the case develops.
· Work independently, or leading a multi-disciplinary investigation team, to establish priorities, identify critical tasks and advance investigations forward in a timely manner.
Collect, review and analyze documentary evidence and testimony in accordance with best practices, and identify and recommend solutions to potential issues.
Prepare legal research and analysis into novel legal issues.
Independently make thorough recommendations as to appropriate proceedings, considering potential defenses, and prepare evidence briefs that support the recommendations.
Draft and/or review legal documents such as settlement agreements, statements of allegations, affidavits, witness statements, reviewing submissions and evidence material.
Work collaboratively with the litigator on the preparation for court or hearings (disclosure, witnesses, hearing briefs and settlement discussions) and advise on litigation strategy (areas for cross-examination, identification of inconsistencies or contradictions, and impeachment).
Testify as a fact witness on financial analysis and on high-profile, broad and complex matters in both administrative hearings and external proceedings, including other jurisdictions, such as quasi-criminal proceedings, collections, Provincial court, receivership proceedings, etc.
Provide technical direction and/or specialty advice on the interpretation and/or development of policies, practices and projects, including mentoring to junior staff and being a go-to person on other files to provide broader accounting and forensic accounting expertise and other subject matter expertise.
What do you need to be successful in this role?
We are looking for someone who is committed to working to protect investors and foster confidence in our capital markets.
Candidates must have a minimum of 8 to 10 years of legal experience and be a lawyer in good standing with the Law Society of Ontario.
You have extensive experience in conducting investigations and inquiries independently regarding regulatory, quasi-criminal or criminal matters.
Preferably, you have deep experience in administrative and/or criminal proceedings along with the Securities Act, the Statutory Powers Procedure Act and the Provincial Offences Act.
You have worked with data analysts, eDiscovery platforms, and open-source intelligence.
Industry experience or knowledge in the capital markets is an asset.
To build and maintain strong and effective working relationships with multiple stakeholders while managing the expectations of competing interests, you have excellent interpersonal and communication skills.
Your diplomacy, tact and professional communication skills will support you in this role, which requires problem-solving in a thoughtful and responsive manner that takes into account the various stakeholders and their interests.
Offer of employment is conditional, subject to successful completion of a security check.
Grow your career and make a difference working at the OSC.
Apply online, at
https://tre.tbe.taleo.net/tre01/ats/careers/requisition.jsp?org=OSC&cws=1&rid=1654
by Sunday, February 12, 2023, at 11:59 pm
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview. The OSC is committed to diversity and providing an inclusive workplace. It is our priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the LGBTQ2S community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
The OSC is a proud partner with the following organizations: BlackNorth Initiative < https://blacknorth.ca/ >, Canadian Centre for Diversity and Inclusion < https://ccdi.ca/ >, and Pride at Work Canada < https://prideatwork.ca/ >.
If you require an accommodation during the recruitment process, please let us know by contacting our confidential inbox HRRecruitment@osc.gov.on.ca.
Visit Accessibility at the OSC < https://www.osc.ca/en/accessibility-osc > to review the OSC’s policies on accessibility and accommodation in the workplace.