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About the Role
The Corporate Finance Department is responsible for overseeing issuers in public and exempt markets, reviewing securities distributions, exempt market activities, continuous disclosure, and leading issuer-related policy initiatives. This role involves supervising insider reporting, regulating rating organizations, and overseeing the listed issuer function.
Responsibilities
- Conduct analysis and provide strategic legal advice and subject matter expertise on securities law, capital markets regulation, prospectus offerings, exemptive relief applications, exempt market regulation, and emerging regulatory issues.
- Independently assess complex prospectus filings and novel products, resolve legal and policy issues, and make recommendations on regulatory approvals.
- Lead exemptive relief applications, negotiate outcomes with Canadian Securities Administrators (CSA) counterparts and market participants, and develop recommendations on complex policy matters.
- Lead complex and high-impact policy, regulatory, and legislative initiatives, including drafting securities law instruments and collaborating with CSA, government, and industry stakeholders.
- Represent the OSC on CSA and industry committees, contributing to regulatory policy development and identifying solutions to market and regulatory challenges.
- Serve as a key point of contact for internal and external stakeholders, providing guidance on securities law interpretation, transaction structures, and regulatory requirements.
- Build consensus and negotiate effectively with regulators, issuers, advisors, and industry participants to address legal, policy, and market issues.
- Monitor market developments and emerging trends, assessing regulatory implications and recommending solutions that support investor protection and efficient capital markets.
Requirements
- Members in good standing with the Law Society of Ontario.
- A minimum of 8 years of relevant legal, transactional, and regulatory experience.
- In-depth understanding of the Canadian securities regulatory environment.
- Experience with the securities regulatory regime as it applies to reporting issuers and issuers raising capital in the exempt market.
- Strong analytical, project management, and communication skills.
- Ability to set and adjust priorities.
- Excellent legal drafting skills, including experience drafting legislation, rules, or other regulatory instruments.
- Demonstrated ability to establish collaborative working relationships and engage with internal and external stakeholders.
- Demonstrated judgment and proficiency to balance regulatory objectives with practical business considerations.
Skills
- Securities law
- Capital markets regulation
- Prospectus offerings
- Exemptive relief applications
- Exempt market regulation
- Legal drafting
- Project management
- Analytical skills
- Communication skills
- Negotiation
Location
- Ontario
Work Type
- Regular
- Full-time
Experience Level
- Senior
- 8+ years
Education Level
- Law degree
About the Company
- The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets.
- The OSC's mandate includes providing investor protection, fostering fair and efficient capital markets, promoting confidence, fostering capital formation, and contributing to financial system stability.
- The OSC operates through policy, operational, and enforcement activities and contributes to national and global securities regulation development.
- The OSC offers a diverse, fair, and flexible work environment with challenging and rewarding work.
Equal Opportunity
- The OSC is committed to diversity and providing an inclusive workplace.
- The OSC provides accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code.
- It is the OSC's priority to ensure employment opportunities are visible and barrier-free to all under-represented groups, including Indigenous, Black and racialized groups, people with disabilities, women, and people from the 2SLGBTQI+ community.
- The OSC aims to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
- The OSC is a proud partner with Ascend Canada, BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada.
- If accommodation is required during the recruitment process, please contact HRRecruitment@osc.gov.on.ca.