The Mutual Fund Dealers Association of Canada is the self-regulatory organization for mutual fund dealers in Canada. The MFDA is committed to delivering responsible and effective regulation; strengthening collaboration, knowledge and expertise; and promoting investor confidence.
Enforcement Counsel (Calgary Office)
The Enforcement Counsel acts as MFDA staff counsel in discipline proceedings conducted by the Mutual Fund Dealers Association of Canada pursuant to the MFDA’s role as a regulatory organization responsible for the regulation of the business and financial conduct of its Members and their approved persons
- Represent the MFDA in the conduct of hearings and settlement hearings before Hearing Panels of Regional Councils.
- Provide legal advice to the Investigations group on ongoing investigations and general investigation issues.
- Review completed investigation reports and supporting documentation to determine whether disciplinary proceedings should be instituted and against whom; make recommendations regarding any additional investigative steps required to support contemplated disciplinary proceedings and consult with Investigation staff in that regard.
- Bachelor of Laws degree (or recognized equivalent). Membership in good standing with the Law Society of a Canadian provincial or territorial jurisdiction.
- The Canadian Securities Course, and either the Branch Managers Course or the Chief Compliance Officers Qualifying Exam, or a willingness to complete those courses within two years of hiring.
- Experience in securities regulatory enforcement.
- Ability to travel within Canada.
Please apply to:
Mutual Fund Dealers Association of Canada
All applications will be treated on a confidential basis.
Reasonable Accommodations will be made to those qualified candidates with disabilities upon request.
We thank all applicants; however only those candidates selected for interviews will be contacted.