Reporting to the AVP & Senior Counsel, you are a key member of the legal team supporting our
Canadian wealth businesses. You will provide legal advice on issues related to the distribution
of securities, the provision of investment management and advisory services to retail clients,
and the ongoing operation of both investment dealer and mutual fund dealer lines of business.
You will be advising on products and service offerings, drafting a wide range of client facing
agreements and disclosures, interpreting and advising on all regulation pertaining to our
Canadian wealth businesses, and negotiating complex corporate and commercial agreements
to support existing and new business activities.
Accountabilities:
Work with business and functional partners to provide practical, risk-based legal advice on a
wide range of matters impacting our wealth businesses
Maintain in-depth knowledge of regulatory requirements applicable to the wealth businesses
and advise on regulatory requirements and developments, including securities laws and
other applicable legislation
Draft account agreements/forms, disclosures and communications, and regulatory
applications/ filings
Negotiate and draft complex commercial agreements, subscription agreements, introducing
broker / carrying broker arrangements, custody arrangements, principal-agent agreements,
and referral arrangements
Advise on the formation of new lines of businesses and services, registration matters, trust
and estate matters, and general operation and administration of investment dealer and
mutual fund dealer businesses
Instruct and manage external counsel
Qualifications and Competencies:
Law Degree, Member in good standing of a provincial Bar
Minimum of 5 years of relevant legal work experience
Extensive knowledge of provincial and territorial securities laws, regulations, and policies,
including in-depth understanding of registrant regulation as well as CIRO rules pertaining to
both investment dealers and mutual fund dealers
Strong knowledge of securities regulatory compliance practices, procedures, and principles
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
Strong written and verbal communication skills
Demonstrated superior drafting skills
Ability to proactively bring projects to completion
Attention to detail
Proven analytical and problem-solving skills with experience simplifying and resolving
complex problems
Superior organizational and time management skills
Location: Toronto/London/Winnipeg
Contact: Umbar.Rafi@canadalife.com
Please use the link to apply directly on our website: