Job Description
Job Description
Responsibilities
Provide legal advice related to Canadian securities laws and regulations applicable to dealer operations.Review, draft, and negotiate contracts, disclosures, and regulatory filings.Assist with legal matters relating to securities products, regulatory compliance, and risk management, including policy review, licensing, marketing and claims-related inquiries.Support internal supervision and compliance teams in responding to regulatory examinations and audits, including advising internal teams on legal issues related to the examination processes.Interact with the Canadian Investment Regulatory Organization (CIRO) and represent WFGS in dealings with the CIRO and provincial and territorial securities regulators, including preparing responses, coordinating filings, and addressing inquiries on behalf of the firm.Work closely with internal teams, including business leaders, supervision ...
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