Legal Counsel, Investment Funds

January 25, 2013
February 25, 2013
Area of Law
Securities Law


Legal Counsel, Investment Funds

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 Commission’s mandate is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in capital markets.

As a 2013 Greater Toronto’s Top Employer, we offer a diverse, fair and flexible work environment and take pride in our challenging and rewarding work.

The Investment Funds Branch oversees the regulation of investment funds that offer securities to the public in Ontario. Our function in OSC’s mandate of providing protection to investors is a vital one. We have a leadership role in developing new rules and policies within the OSC and within the Canadian Securities Administrators (CSA) to adapt to the changing environment in the investment fund industry. Our scope includes:

  • reviewing investment products (mutual funds, exchange traded funds, structured products, scholarship plans and labour sponsored funds)
  • considering investor protection issues related to the offering of investment funds and structured products in Ontario
  • reviewing and assessing product disclosure, including prospectus and continuous disclosure filings
  • considering applications for discretionary relief from securities legislation and rules



Your work will have direct impact on the quality of investor portfolios across the Province, and the prevention of investment fraud with the opportunity to influence on regulatory matters across Canada through the CSA. As part of our team you will have exposure to and opportunity to review and become familiar with unique and novel investment products. Your duties will include:

  • reviewing and assessing product disclosure for all types of investment fund and structured investment products
  • reviewing and providing recommendations on applications for discretionary relief from the Ontario securities legislation and associated rules
  • participating in and/or leading the development and implementation of investment fund policy and legislation


You offer the following:

  • membership in good standing with the Law Society of Upper Canada
  • one to five years of experience practising securities law
  • an MBA or CFA designation is desirable
  • investment fund, investment products or derivatives experience is an asset
  • the ability to demonstrate creativity, achieve results, communicate information clearly and concisely and add value to a dynamic team environment
  • proven aptitude to consider the OSC’s mandate of balancing investor protection, regulatory objectives and practical business applications

Grow your career and make a difference working at the OSC. 

If you have a passion for capital markets and investor protection, please apply online, quoting File 12-110 at by March 1, 2013.