Senior Investigation Counsel

仕事内容

Office of the Whistleblower & Case Support, Enforcement Branch

File #21-122

Who We Are

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.

What We Do

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 work 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 fostering fair and efficient markets and the stability of the financial system.

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,
relishes the opportunity to apply strategic thinking to support the ongoing growth of the Office of the Whistleblower, international regulatory cooperation and the disruption of misconduct that impacts investors,
enjoys investigating challenging issues and working on high-profile and complex cases,
is excited to partner with law enforcement and regulators around the world on interjurisdictional enforcement matters,
is interested in developing and executing creative strategies designed to disrupt misconduct, and
wants to be part of a dynamic and flexible work environment with a collaborative, progressive, and professionally diverse team,

then we would love to hear from you!

The Enforcement Branch is looking for a Senior Investigation Counsel to join the Office of the Whistleblower & Case Support. This is a unique, multifaceted opportunity that allows you to leverage your legal and investigation experience.

The Office of the Whistleblower & Case Support consists of three (3) distinct functional groups, including:

Office of the Whistleblower (OWB) – Working closely with investigation and litigation teams, the Senior Investigation Counsel will encourage and advance whistleblower submissions that report misconduct and support Enforcement teams in executing whistleblower-related investigations and proceedings.
International Cooperation Group – Working closely with staff from other domestic and international regulators, the Senior Investigation Counsel will foster international cooperation through research, policy development and the exchange of critical evidence across jurisdictions to help support their investor protection mandates.
Disruptions & Partnership Team – The Senior Investigation Counsel will work creatively with law enforcement and other regulatory partners to disrupt and deter misconduct that impacts investors. The insights gained through these partnerships will be critical in the advancement of solutions that disrupt securities misconduct.

What will you do?

General Key Responsibilities:
Provide research, analysis, recommendations, and strategic policy development to the Manager on whistleblower, international regulatory and disruption issues and ongoing file matters.
Lead OSC and/or Canadian Securities Administrators (CSA) projects involving whistleblower, international regulatory and disruption issues.
Collect, review, research and analyze evidence, conduct interviews and deal with external legal counsel.

Office of the Whistleblower Key Responsibilities:
Provide legal and investigative counsel and support to a multi-disciplinary team of professionals regarding possible breaches of securities laws, and work with whistleblowers in the provision of sensitive information while protecting their identities.
Apply critical thinking to identify new opportunities for the OWB to continue to expand and deepen its mandate.
Support investigations and litigation proceedings involving whistleblower submissions by collecting and examining evidence for potential breaches of Ontario securities law, identifying important legal issues and assisting in the formulation of a strategy for successful investigations and proceedings involving whistleblowers.
Provide advice and guidance to management on complex and challenging whistleblower issues and various policy initiatives.
Participate in various outreach efforts to promote awareness of the Whistleblower Program, including as a speaker at conferences and seminars.

International Cooperation Group & Disruptions & Partnership Team Key Responsibilities:

Build and maintain relationships with multiple stakeholders, including other domestic and international securities commissions and regulators, security industry self-regulatory organizations, law enforcement, and government agencies.
Participate and represent the OSC on Enforcement Committees of the International Organization of Securities Commissions to develop policy and advance the OSC’s interests internationally.
Advise OSC staff conducting investigations on how to best obtain information from other jurisdictions and working with staff from other jurisdictions to facilitate information and evidence gathering for OSC investigations.
Deliver assistance to domestic and international regulators by reviewing incoming requests for assistance and working with staff to take the steps necessary to address those requests appropriately and in a timely manner.
Conduct legal research, analysis and drafting to support the provision of assistance and strategically disrupt misconduct.
Leverage relationships to find mutually satisfying and creative solutions to disrupt misconduct that negatively impacts investors.

What do you need to be successful in this role?

You are a member of the Law Society of Ontario in good standing.
You have a minimum of 7+ years of relevant securities regulation experience.
You offer strong knowledge and experience in the areas of securities investigation, as well as regulatory and administrative law.
You demonstrate sound professional judgment and analytical ability to determine appropriate legal remedies due to your solid understanding of Ontario securities law.
You possess excellent interpersonal and communication skills and are adept at positively influencing, and adapting your approach with, another party to achieve optimal resolution of challenges.
You have a demonstrated ability to establish collaborative working relationships and engage with internal and external stakeholders.
Your ability to organize and manage multiple, complex projects and priorities will help ensure you thrive in this challenging role.
You have a demonstrated ability to analyze complex and novel issues.
You possess concise written and verbal communication skills.
You engage in strategic thinking and can develop creative, "out of the box" recommendations to support the continued growth of the Team’s mandate.
You are a detail-oriented self-starter who takes great pride in delivering high-quality, timely results.
Completion of the Canadian Securities Course is an asset.

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

Apply online (https://www.osc.ca/en/about-us/careers-osc) by Friday, February 18, 2022.

We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.

Inclusion and Diversity at the OSC

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/>.

Accommodation

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.