Assistant Vice President, Lead Assistant General Counsel

About this Position
We are looking for a Lead Assistant General Counsel to join our Legal team.

Responsibilities:

• Advising the company on corporate and securities regulation compliance, prospectus reviews, assess and advise on regulatory changes and providing legal support for corporate governance matters.
• Working closely with the General Counsel on the provision of strategic legal advice on complex matters, managing legal risks, ensuring compliance with relevant laws and regulations.
• Supporting business operations by offering legal counsel to executive management.
• Providing advice on legal implications of strategic business decisions across a wide range of legal issues in a pragmatic, flexible and collaborative manner with a focus on the operational responsibilities of a Mutual Fund Dealer and Mutual Fund Manager.
• Ongoing monitoring of compliance with relevant laws, regulations and industry guidelines, covering securities, technology, artificial intelligence, data privacy and other technology-driven initiatives.
• Analyzing legal issues, conducting legal research, and drafting legal documents including complex contracts, agreements and opinions.
• Providing ongoing support and work collaboratively with the Securities Compliance Team to ensure continued regulatory adherence.
• Negotiating contract terms and managing due diligence processes effectively.
• Contributing to the development of the company’s legal strategy and risk management framework including conducting research and preparing opinions that assist in the advancement of key business objectives.
• Identifying opportunities to improve legal processes and efficiency.
• Responsible for annual review and regulatory filings required for an investment fund manager.
• Attending to other matters and special projects as assigned by the General Counsel.
• Representing the General Counsel and Legal Team in front of Executive Management both locally and at the Parent Company level, which may include presentations and real-time advice and guidance.
• Provide supervision and guidance to members of the legal team.

Preferred Qualifications:

• LL.B./J.D. from an accredited university in Canada or equivalent and a Member in good standing with at least one Canadian provincial law society, with a preference for Ontario.
• Minimum 10 - 15 years’ experience in a managerial or leadership role providing legal counsel in the financial services sector – experience within the Securities and/or Mutual Fund industries preferred.
• Individuals with securities and general litigation experience would be considered an asset.
• Investment filings and documentation review/preparation experience with mutual funds.
• Excellent negotiation skills to effectively interact with all levels of management, stakeholders and regulators.
• Superior analytical and problem-solving skills.
• Exhibited leadership and mentorship qualities developed through active involvement and guidance.
• Comprehensive understanding of relevant Canadian laws and regulations.
• Ability to manage complex legal matters with a high degree of autonomy.
• Regulatory risk management, policy development/review experience.
• Highly organized and able to quickly adapt to a high change, growth environment.
• Superior interpersonal, communication and presentation skills.

This position has a wide range of duties that will be assigned to greater or lesser degree depending upon the skill set, experience and performance of the successful candidate. As such, the above-noted qualifications may evolve or change as the position evolves.