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About the Role
The Case Assessment & Disruption Team is recruiting a Team Lead to oversee complex assessments, intake operations, and proactive disruption activities involving potential securities misconduct and emerging enforcement risks. This role provides leadership, strategic direction, and operational oversight for the intake and assessment functions, ensuring matters are effectively triaged, prioritized, and advanced. The Team Lead also leads proactive disruption initiatives aimed at reducing investor harm and protecting market integrity.
Responsibilities
- Lead the assessment of complex securities misconduct matters, including fraud, market abuse, misleading disclosure, crypto-related misconduct, and other emerging risks.
- Direct assessment strategies, evaluate evidence, identify potential breaches of securities law, and determine appropriate regulatory and enforcement responses.
- Identify and oversee disruption opportunities to prevent investor harm, address unlawful activity, and protect market integrity.
- Make critical decisions regarding file prioritization, referrals, investigation steps, disruptions, and closures.
- Promote the effective use of data analytics, artificial intelligence, and emerging technologies to enhance assessment outcomes and operational effectiveness.
- Serve as a subject matter expert in securities law, investigations, evidentiary standards, and enforcement practices, providing strategic advice to the team on complex matters.
- Lead, mentor, and develop a multidisciplinary team while fostering a culture of excellence, accountability, collaboration, and continuous improvement.
- Oversee matters from intake through assessment, ensuring file work is timely, risk-based, and compliant with legislative, policy, and procedural requirements.
- Monitor team performance, capacity, outcomes, and operational risks, and report on results, emerging trends, and key performance metrics.
- Build and maintain relationships with regulators, law enforcement, government agencies, and other stakeholders to support enforcement and disruption objectives.
- Lead information-sharing, deconfliction, and multi-agency initiatives involving regulatory, criminal, intelligence, and public-interest considerations.
- Identify emerging risks, enforcement trends, and market developments and provide strategic advice to senior leadership.
- Champion initiatives that enhance assessment effectiveness, disruption capabilities, operational efficiency, and enforcement outcomes.
Requirements
- Law Degree (LL.B. or J.D.) and membership in good standing with the Law Society of Ontario, or a CPA designation in good standing.
- Minimum 10 years of progressive investigatory experience in securities enforcement, regulatory investigations, financial crime investigations, regulatory compliance, or a comparable senior investigative role.
- Demonstrated leadership experience leading, mentoring, coaching, and developing investigative or regulatory professionals.
- Strong understanding of Ontario securities law, regulatory enforcement processes, and administrative proceedings.
- Extensive knowledge of capital markets, investment products, registrants, market participants, and securities regulation.
- Significant experience assessing complex allegations of misconduct and making evidence-based regulatory decisions.
- Strong understanding of investigative methodologies, evidence collection practices, intelligence development, open-source intelligence techniques, eDiscovery processes, and data analytics.
- Experience working with law enforcement agencies, regulators, self-regulatory organizations, government partners, and other stakeholders.
- Experience handling complex, sensitive, and high-profile matters involving significant regulatory, legal, reputational, and operational risks.
- Proven leadership, mentoring, and coaching abilities.
- Strong project management experience overseeing multiple complex files, initiatives, or competing priorities.
- Exceptional analytical thinking, problem-solving, and decision-making skills.
- Ability to think critically, strategically, and creatively in a fast-paced and evolving environment.
- Excellent judgment and ability to make sound decisions under pressure.
- Outstanding written and verbal communication skills, including the ability to explain complex issues clearly and persuasively to staff, executives, regulators, and external stakeholders.
- Strong interpersonal and stakeholder management skills with a demonstrated ability to build credibility and influence outcomes.
- A collaborative leadership style and commitment to service excellence, accountability, and continuous improvement.
Skills
- Data analytics
- Artificial intelligence
- Emerging technologies
- Investigative methodologies
- Evidence collection practices
- Intelligence development
- Open-source intelligence techniques
- eDiscovery processes
- Project management
- Analytical thinking
- Problem-solving
- Decision-making
- Critical thinking
- Strategic thinking
- Creative thinking
- Communication skills
- Interpersonal skills
- Stakeholder management
Location
- Ontario
Work Type
- Fixed Term
- Full time
- Contract
Experience Level
- Senior
- Minimum 10 years of progressive investigatory experience
Education Level
- Law Degree (LL.B. or J.D.)
- CPA designation
Benefits
- Diverse, fair, and flexible work environment
- Challenging and rewarding work
About the Company
- 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, and enforcement activities.
- The OSC also contributes to national and global securities regulation development.
- The Enforcement Division of the Ontario Securities Commission investigates and litigates breaches of securities law in Ontario.
- Team members work closely with other securities regulators, self-regulatory organizations, law enforcement agencies, and government partners to combat misconduct and enhance investor protection.
- A strong and visible enforcement presence helps protect investors from unfair, improper, or fraudulent practices, fosters fair, efficient, and competitive capital markets, supports capital formation, and contributes to the stability of the financial system.
- The Case Assessment & Disruption Team operates in a fast-paced, results-oriented environment, conducting initial inquiries into potential breaches of securities law and identifying opportunities to proactively disrupt misconduct before significant investor harm occurs.
- The team assesses complaints, tips, whistleblower submissions, referrals, and other information received from the public, market participants, regulators, and law enforcement agencies.
- Through evidence gathering, legal analysis, intelligence development, and collaboration, the team evaluates the nature and extent of potential misconduct and determines the most appropriate regulatory response, including disruption, referral, investigation, resolution, or closure.
Equal Opportunity
- The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code.
- 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 2SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
- The OSC is a proud partner with the following organizations: Ascend Canada, BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada
- 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 to review the OSC’s policies on accessibility and accommodation in the workplace.