Lawyer / Legal Counsel - Securities

• Act as legal counsel to the Chief Compliance Officer, senior management and business units on legal and regulatory matters
• Support the Chief Compliance Officer and compliance teams in interpreting and applying laws, regulations, IIROC rules, CSA requirements and other regulatory obligations
• Advise the firm on internal investigations, disciplinary matters, non-compliance issues and corrective actions
• Support the management of client complaints, litigation, mediations, arbitrations and other disputes
• Provide guidance and support to advisors in matters involving vulnerable clients
• Represent and assist the firm in dealings with regulatory authorities during inspections, investigations, information requests and consultations
• Participate in drafting, reviewing and updating policies, procedures, guides and governance documents
• Draft, review, analyze and negotiate contracts, commercial agreements and other legal documents
• Monitor legal and regulatory developments, analyze new requirements and recommend necessary actions
• Prepare legal opinions and memoranda to support business decisions and strategic direction
• Participate in preparing submissions and comment letters to regulatory authorities
• Advise the firm on complex or sensitive situations involving advisors, clients or brokerage activities
• Contribute to strategic projects by assessing legal and regulatory impacts of new initiatives, products and services
• Collaborate with, support and advise the firm 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 mitigation measures
• Coordinate with external counsel when required

Requirements

• Law degree (LL.B., J.D. or equivalent)
• Member in good standing of a Canadian law society
• Minimum of five years of relevant legal practice experience
• Significant experience in securities law, regulatory compliance or within a financial institution, brokerage firm or specialized law firm
• Strong knowledge of securities laws and regulations and of IIROC and CSA rules
• Good understanding of legal and regulatory risk management
• Excellent legal analysis, drafting and problem-solving skills
• Ability to manage multiple matters concurrently in a dynamic environment
• Strong judgment, autonomy and ability to prioritize
• Excellent verbal and written communication skills in French and English

Core Competencies

Demonstrates expertise in securities law, regulatory compliance, and legal risk management, with strong capabilities in legal analysis, drafting, and problem-solving. Proficient in advising on complex legal matters and managing compliance-related projects within a financial institution.

Highest-signal resume keywords

• Law Degree (LL.B., J.D. or Equivalent)
• Securities Law Expertise
• Regulatory Compliance Experience
• Bilingual Communication Skills (French and English)
• Legal Analysis and Drafting Skills

ATS Optimization Keywords

Hard Skills

• Legal Analysis
• Contract Drafting
• Regulatory Risk Management
• Compliance Program Development
• Policy Review and Update
• Internal Investigations
• Disciplinary Matters
• Client Complaint Management
• Negotiation Skills
• Legal Opinion Preparation

Soft Skills

• Strong Judgment
• Autonomy
• Problem-Solving
• Prioritization
• Collaboration

Certifications & Qualifications

• Member in Good Standing of a Canadian Law Society

Industry Keywords

• IIROC Rules
• CSA Requirements
• Financial Institution
• Brokerage Firm
• Legal Counsel
• Regulatory Authorities
• Compliance Action Plans
• Change Agent
• Litigation Management
• Vulnerable Client Support