Senior Counsel, Head of Canadian Litigation and Regulatory Enforcement, TD Securities

TD•Toronto, ON

10d•Onsite

About The Position

TD Securities is seeking an experienced and skilled Senior Counsel to lead TD Securities' litigation and regulatory investigations in Canada. This role will report to the General Counsel, TD Securities, covering both litigation and regulatory enforcement matters across TD Securities' Corporate Investment Banking and Global Markets businesses. This role offers an exciting opportunity to work in a fast-paced, high-performance environment, dealing with complex issues and with a dynamic and collegial team of legal professionals. This is a senior role in the area of litigation and regulatory enforcement, with principal accountability in the areas of strategic and tactical legal advice, counsel, influence, relationships and oversight, development of others, and special projects. The successful candidate is a lawyer with experience in Canadian securities litigation and regulatory enforcement at a large law firm, financial institution, broker-dealer or regulator.

Requirements

7+ years of post-call securities litigation experience working with a law firm, in-house or financial services regulator.
Strong expertise in securities litigation and regulatory enforcement matters.
Comfort working in an ever-evolving, fast-paced, high-stakes investment banking and trading floor environment on complex matters.
Ability to identify problems and barriers, and effectively implement creative and innovative solutions to further business strategy.
Strong analytical, problem-solving and decision-making skills.
Flexibility to quickly adapt to changing and ambiguous dynamics.
Excellent communication skills and the ability to provide clear, business-oriented legal advice.
Qualified to practice law in Ontario.

Nice To Haves

Experience with Canadian broker-dealer regulation is an asset.

Responsibilities

Advise on securities litigation and regulatory enforcement matters impacting TD Securities, provide legal guidance on complex matters, and work closely with other members of the TD Securities Legal Team.
Manage all aspects of securities litigation, including external counsel, at all levels of court in Ontario and other provinces to develop and implement strategy for the resolution of litigation. Please note that this role does not involve direct, in-court advocacy.
Manage all aspects of securities regulatory enforcement matters, including external counsel, with respect to any TD Securities regulatory enforcement matters with applicable securities regulators.
Identifying key legal risks and mitigation strategies, while ensuring awareness among relevant stakeholders and other members of the TD Securities Legal team.
Provide best in class advice that is integrated with the strategies and objectives of the business and consistent with the enterprise-wide risk policy.
Provide advice to other members of the TD Securities Legal Team and the Business with respect to contractual interpretation and drafting, pre-litigation dispute resolution, and litigation/regulatory enforcement risk analysis.
Manage privileged internal investigations and provide legal advice to relevant stakeholders on privilege and best practices.
Engage with internal risk, compliance and regulatory teams, and senior business executives and committees.
Stay current on the securities litigation and regulatory enforcement landscape and market developments.
Provide guidance and training to business and legal partners through presentations on best practices, developments in the law, and emerging risk areas.
Support development and/or implementation of policies, procedures, and solutions that mitigate risk and enable the achievement of business/enterprise priorities.