Senior Counsel

Richardson GMP - Toronto, ON (30+ days ago)

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Position Overview
The Senior Counsel is an essential resource for the firm’s business lines and back office teams,and is responsible for providing practical and timely advice on the legal and regulatory requirements applicable to the wealth management industry.
Duties & Responsibilities
Provide ongoing advice and support in respect of legal and regulatory requirements, develop policies and procedures, and provide advanced compliance support to various business lines and corporate functions, including new product or service initiatives and business as usual activities
Provide clear analysis and recommendations on the impact of any legislative or regulatory developments to the firm’s to business model, strategy and product and services
Provide legal advice in respect of matters relating to client accounts, including acute account issues, client documentation (powers of attorney, trust agreements and wills), referral agreements, account agreements and forms, across all business lines
Draft and provide advice in respect of various advisor, firm and client agreements, account documents or forms, as required
Support the maintenance of a legislative compliance system, including to track and report on legal or regulatory developments and trends, and partner with internal stakeholders to develop or enhance policies and procedures, as required
Provide advice and participate in special projects as required
Skills & Qualifications
In the range of 4 - 6 years post-call experience, in-house at an investment dealer or financial institution, with a securities regulator, or in private practice with commensurate or transferable experience
Good knowledge and understanding of the Canadian securities regulation and practice, and IIROC and CSA rules and legislation
Familiarity with trusts, contract and estates law a key asset
Ability to educate, influence, negotiate and to work independently and within a larger team
Good understanding of front and back office operations of investment dealers an asset
Service and transaction-oriented with an ability to remain calm and professional under pressure
Ability to think and act proactively with sound judgment and integrity
Self-motivated and interested in ongoing learning and professional development
Proficient with Microsoft Office Suite
Degree in law (LL.B. or JD)
Called to the bar of a Canadian jurisdiction and qualified to practice law in Ontario
Completion of the Canadian Securities Course (CSC), and Conduct and Practices Handbook Course (CPH), an asset