Team Lead

TheEnforcement Divisionof the Ontario Securities Commission investigates and litigates breaches of securities laws in Ontario. Team members work closely with other securities regulators self-regulatory organizations and law-enforcement agencies to enhance initiatives to fight misconduct. A strong visible enforcement presence assists in protecting investors from unfair improper or fraudulent practices fosters fair efficient and competitive capital markets fosters capital formation and contributes to the stability of the financial system and the reduction of systemic risk.

The Case Assessment Team of the Enforcement Division operates in a fast-paced results oriented environment making the Divisions initial inquiries regarding possible breaches of provincial securities law assessing the nature and extent of any misconduct and making determinations as to appropriate action including referral or resolution.

Case Assessment is recruiting a Team Lead which plays a critical role for maintaining consistency accuracy and efficiency of assessments. You will be responsible for overseeing assessments assigned to your group are completed appropriately in accordance with team practices. Relying on your experience and judgment you will ensure that the appropriate steps are taken to identify possible breaches of Ontario securities law conduct necessary evidence gathering and analysis to inform decisions and allow for timely completion of file work to meet the required KPIs.

You will lead and mentor your more junior team members drawing on your knowledge of and experience with Enforcement and the Securities Act and to anticipate and resolve issues that may arise during assessment work. You will collaborate with your peers and escalate issues as needed. You will also monitor and report regularly about team members capacity and assist with the determination of file assignments.

Reporting to a manager and providing support to the team Head Team Leads are key for Case Assessment to meet the overall objective of effectively triaging files identifying relevant misconduct for investigation recommending appropriate outcomes on a timely basis and conducting simpler disruptions.

Whats in it for you

• Make a difference and have a meaningful impact on investors and participants in Ontarios capital markets.

• 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.

What do you need to be successful in this role

• Undergraduate degree in Accounting or Law with 8-10 years investigations and or securities compliance experience or an equivalent combination of education and experience.

• Strong understanding of securities law in Ontario in-depth knowledge of the capital markets industry trading products and role of registrants and participants and regulatory bodies.

• Demonstrated strong leadership mentoring and coaching skills whether with direct or indirect reports.

• Project management or similar experience managing and overseeing multiple projects or files with tight deadlines and reporting requirements.

• A proven leader with strong problem-solving skills including a track record of identifying analyzing and resolving issues effectively.

• Ability to think critically creatively and experienced with decision making in high pressure situations.

• Strong knowledge of investigations techniques including evidence collection practices and procedures and e-Discovery and data analytics approaches.

• Experience with writing reports and describing complex matters effectively to employees executives and other stakeholders while managing competing interests.

• Excellent communication skills with the ability to actively listen probe and interpret information and to present information orally and in writing coherently concisely and persuasively.

• Superior team-based skills necessary to collaborate enable and demonstrate a service excellence mindset within the team and towards other OSC employees.