Assistant Vice President & Senior Counsel

Canada Life • Toronto, Ontario, Canada • 10h ago

Accountabilities:

Work collaboratively with business and functional partners to provide practical, risk-based legal advice on a wide range of matters impacting Canada Life's wealth businesses
Lead high-performing legal professionals in an inclusive environment to support the businesses' strategic objectives with a strong focus on wealth management
Maintain in-depth knowledge of regulatory requirements applicable to Canada Life's wealth businesses and advise on regulatory requirements and developments, including securities laws and other applicable legislation pertaining to investment dealers and mutual fund dealers
Advise the compliance function, including advising on the enhancement of internal policies and procedures aimed at mitigating risk, meeting applicable regulatory requirements and/or improving operational efficiency
Draft account agreements and related forms, client disclosures and communications, as well as regulatory applications and filings in support of new and existing business initiatives
Negotiate and draft complex commercial agreements, including distribution agreements, investment management and sub-advisor agreements, subscription agreements, introducing broker / carrying broker arrangements, custody arrangements, principal-agent agreements, referral arrangements, and a range of outsourcing and technology agreements related to the operation of investment dealer and mutual dealer businesses
Advise on the formation of new lines of businesses and services, firm and individual registration matters, trust and estate matters, and the general operation and administration of investment dealer and mutual fund dealer businesses as well as the provision of investment management advice in non-discretionary and discretionary relationships
Advise on firm and advisor regulatory compliance, including advisor conduct issues, and provide securities regulatory advice on litigation matters impacting the wealth lines of business
Instruct and manage external counsel

Qualifications and Competencies:

Law Degree, Member in good standing of a provincial Bar
10 - 15 years of relevant legal work experience (law firm, in-house, or securities regulatory body)
Extensive knowledge of provincial and territorial securities laws, regulations, and policies, including in-depth understanding of registrant regulation (NI 31-103, NI 33-109) as well as CIRO rules pertaining to both investment dealers and mutual fund dealers and NI 81-105
Strong knowledge of the securities industry's regulatory compliance practices, procedures, and principles applicable to investment dealers and mutual fund dealers
Experience advising on discretionary investment / managed account programs (UMA and/or SMAs) and familiarity with associated rules, regulations and guidance notes considered a strong asset
Experience leading a team of legal professionals desirable
Self-motivated with the ability to work well independently and as part of a team
Strong written and verbal communication skills with a practical solution-oriented approach and ability to see the big-picture
Demonstrated superior drafting skills
Ability to proactively and independently bring projects to completion
Highly focused with attention to detail
Proven analytical and problem-solving skills with experience simplifying and resolving complex problems
Superior organizational and time management skills with experience handling multiple projects at once
The successful candidate will be required to communicate in English in order to support clients from various jurisdictions outside of Quebec

Location:

Canada Life

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