Legal Counsel – Securities & Regulatory Compliance

Legal Counsel – Securities & Regulatory Compliance

Join a recognized organization where your contribution will help address strategic legal and regulatory matters that have a direct impact on business operations. In a collaborative and constantly evolving environment, you will work on a variety of files while benefiting from competitive compensation, a hybrid work model, comprehensive benefits, and excellent opportunities for professional growth.

What is in it for you:

• Annual salary between 95K-110K.

• Permanent full-time daytime position.

• Flexible schedule with 2 remote workdays per week.

• 3 weeks of vacation, 5 sick days, and 1 personal day.

• Comprehensive group insurance plan after three months of service, including medical and dental coverage, a health spending account, an employee assistance program, and telemedicine services.

• Registered Retirement Savings Plan with employer contributions after three months of service.

• Monthly social activities and team events.

• Professional development and career advancement opportunities.

• Modern downtown offices, easily accessible by public transit, with a 20% discount on the OPUS card.

• Complimentary beverages and snacks available daily at the office.

Responsibilities:

• Serve as legal counsel to the Chief Compliance Officer, senior management, and business units on legal and regulatory matters affecting the organization’s activities.

• Support the Chief Compliance Officer and compliance teams in interpreting and applying laws, regulations, CIRO rules, CSA requirements, and other applicable regulatory obligations.

• Advise the organization on internal investigations, disciplinary matters, compliance breaches, and the determination of appropriate corrective measures.

• Support the management of client complaints, litigation, mediations, arbitrations, and other disputes involving the organization.

• Advise and assist advisors in managing files involving vulnerable clients, including matters related to financial exploitation, abuse, decision-making capacity, and regulatory requirements for investor protection.

• Assist the organization in its dealings with regulatory authorities, including inspections, investigations, information requests, and consultations.

• Participate in the drafting, review, and updating of policies, procedures, guidelines, and other governance documents from a legal perspective.

• Draft, review, and negotiate various contracts, commercial agreements, and other legal documents.

• Conduct legal and regulatory monitoring, analyze new requirements, and recommend actions necessary for implementation.

• Prepare legal opinions and advisory memoranda to support business decisions and strategic initiatives.

• Participate in the analysis and preparation of submissions and comment letters to regulatory authorities as part of consultations or regulatory reform initiatives.

• Advise the organization regarding complex or sensitive situations involving advisors, clients, or dealer activities, including conflicts of interest, professional conduct, client protection, and risk management.

• Contribute to strategic business projects by assessing legal and regulatory implications of new initiatives, products, and services from the early stages.

• Collaborate with, support, and advise the organization on compliance action plans, programs, solutions, and tools.

• Act as a change agent with managers and stakeholders on compliance-related projects.

• Proactively identify legal and regulatory risks and recommend practical solutions to mitigate them.

• Collaborate with external legal counsel when required.

What you need to succeed:

• Bachelor's degree in law.

• Member in good standing of a Canadian bar.

• 5 years of relevant legal practice experience.

• Significant experience in securities law, regulatory compliance, or within a financial institution, investment dealer, or specialized law firm.

• Strong knowledge of securities legislation and regulations, as well as CIRO and CSA rules.

• Solid understanding of legal and regulatory risk management.

• Excellent legal analysis, drafting, and problem-solving skills.

• Ability to manage multiple files simultaneously in a dynamic environment.

• Strong judgment, autonomy, and prioritization skills.

• Excellent communication skills in both French and English, written and spoken, due to interactions with business units, regulatory authorities, and various stakeholders, as well as the drafting of legal and regulatory documents.

• Attention to detail, sound judgment, and the ability to translate complex legal issues into practical solutions.

• Ability to work in partnership with operational teams and provide balanced solutions that consider both regulatory requirements and business objectives.

• Initiative, curiosity, and a strong collaborative mindset.

• Comfort working in a fast-paced environment where priorities may change quickly.

Why Recruit Action?

Recruit Action (agency permit: AP-2504511) provides recruitment services through quality support and a personalized approach. As part of the screening process, some applications may be reviewed using artificial intelligence tools. Only candidates who meet the hiring criteria will be contacted.