Senior Investigation Counsel

December 12, 2018

Senior Investigation Counsel

File #18-84 A

Build your Professional Career at the OSC

At the Ontario Securities Commission (OSC), we are operating in a fast-paced environment to meet a changing marketplace that requires new ways of thinking and new approaches. The challenge to keep pace with financial innovation, new technologies and emerging issues means every day is an interesting day. As a member of our dynamic teams of professionals, you will enhance your ability to interpret and apply securities law and regulatory oversight to complex investor protection and capital markets issues. The work we do has a meaningful impact on investors and on the efficient operation of the capital markets. Learn more about the OSC mandate.

What we do makes a difference. We deliver strong investor protection and foster confidence in the capital markets. Learn more about the OSC by visiting our careers site.

Join the OSC team to shape your career!

Senior Investigation Counsel Career Opportunities are currently available within our Enforcement Branch.

The Enforcement Branch has a dynamic, multi-disciplinary, and highly-collaborative approach to delivering fair, vigorous, and timely enforcement. We aim to deliver impactful outcomes that protect investors and foster fair and efficient markets by assessing all in-coming matters and by investigating and litigating serious wrongdoing.

If you are the type of person who:

• is passionate about making a difference and having a meaningful impact on investors and participants in Ontario’s capital markets,
• desires the opportunity to investigate challenging issues and work on high profile and complex cases and,
• enjoys being part of a dynamic and flexible work environment with a collaborative, progressive, and professionally diverse team.

We would love to hear from you!

We are looking for Senior Investigation Counsels to join our team. Using your subject-matter expertise in securities legislation and administrative law as well as your experience with investigative best practices, you will assist in the formulation of strategies for effective and timely assessments and/or investigations and successful proceedings. In addition to providing mentoring while building and maintaining relationships with multiple stakeholders, as a Senior Investigation Counsel, you can expect to deal at times with novel issues and/or high-profile cases as a key member of a team or as a subject matter expert.

What will you do?

Planning and Assessment

• Identify possible breaches of Ontario securities law and conduct inquiries so as to assess the seriousness of the misconduct and make recommendations regarding appropriate action.
• Provide legal advice and support a multi-disciplinary team of professionals regarding possible breaches of securities laws.
• Lead more complex or novel inquiries and develop strategies for effective and timely assessments.
• Provide updates, analysis, strategy and recommendations as to the appropriate action to the Case Lead on ongoing files.

Investigations

• Identify potential evidence and most appropriate manner of collection in the formulation of strategies for effective investigations and successful proceedings.
• Lead a multi-disciplinary investigation team, establish priorities, identify critical tasks and advance investigations forward in a timely manner.
• Identify and resolve potential issues related to the format of the evidence, timeliness of evidence delivery and locating individuals who do not want to be found.
• Independently make thorough recommendations as to appropriate proceedings and prepare evidence briefs that support the recommendation.

Litigation (Settlements, Hearings, Court proceedings)

• Work collaboratively with the litigator on the file and advise on litigation strategy, such as potential areas for cross-examination, identification of inconsistencies or contradictions.
• Prepare disclosure, witnesses, hearing briefs and participate in settlement discussions.
• Draft and/or review legal documents such as settlement agreements, statements of allegations, affidavits, witness statements, reviewing submissions and evidence material.
• Testify as a witness on broad and complex matters in both administrative hearings and external proceedings, including freeze directions and receivership proceedings, etc.

What do you need to be successful in this role?

• A member in good standing with the Law Society of Ontario.
• A minimum of 8 years’ experience in securities regulation or enforcement with a leading law firm or regulator and in managing large complex investigations.
• In-depth knowledge and experience in the areas of securities law, as well as regulatory and administrative law.
• Demonstrated analytical skills with an ability to think creatively and strategically in exercising sound professional judgment to determine appropriate solutions.
• Excellent interpersonal and communication skills (written and presentation) and adept at adapting your approach to positively influence.
• An ability to manage multiple priorities will help ensure you thrive in this challenging role.
• Strong project-management skills and strategic thinking on large novel and/or complex files effectively managing the scope of the investigation and deadlines, by designing a structured approach to investigations based on experience.
• Demonstrated understanding of the Canadian and international securities environment, securities law and how regulatory actions impact stakeholders.
• Experienced with witness examinations techniques.
• Experience with e-discovery software and other data analytics tools is an asset.

What’s in it for you?

• Opportunity to make a difference in Ontario’s capital markets.
• Opportunity to work on novel, high profile and/or complex cases.
• Work in a dynamic and challenging work environment with a collaborative, progressive, and professionally diverse team.

Does this sound of interest to you?

Grow your career and make a difference working at the OSC.

Apply online at www.osc.gov.on.ca/en/careers.htm, by Friday, January 11, 2019.

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 providing an inclusive workplace environment that meets the accessibility needs of employees with disabilities.  Please go to Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.