The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, and enforcement activities. The OSC also contributes to national and global securities regulation development.
We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.
The Governance & Tribunal Secretariat is a governance and advisory branch of the Ontario Securities Commission that provides legal advice, support, and education to the Commission’s Board Directors and separately to the Capital Markets Tribunal’s Adjudicators. The Secretariat administers the OSC’s governance framework and Capital Markets Tribunal.
The Commission regulates Ontario’s capital markets by making rules that have the force of law and by adopting policies that influence the behaviour of capital markets participants.
The Tribunal is an independent division of the Commission established by the Securities Commission Act, 2021. The Tribunal is the administrative tribunal that is assigned the power to conduct hearings under the Ontario Securities Act and the Commodity Futures Act and to independently determine all questions of fact or law in any proceeding before it under those Acts.
The Governance & Tribunal Secretariat is looking for a Tribunal Administration Lead who will be responsible for the Capital Markets Tribunal’s hearing process and manages the hearing registrars and administrative services dedicated to supporting the Tribunal including relevant stakeholders, adjudicators, parties, representatives and members of the public and media. The position reports directly to the Corporate Secretary and Vice President, Governance and Tribunal Secretariat.
What will you do?
Leadership
Manage, educate, and develop the Hearings Registrars and Tribunal Administrator, including setting annual performance objectives, conducting performance reviews, and making annual performance ratings and compensation reward recommendations.
Ensure that direct reports are informed of and understand developments in the Tribunal’s rules, policies, administration, records, metrics, and reporting needs.
Ensure that all policies, practices, and procedures of the Secretariat applicable to the administration and operations of the Tribunal are adhered to.
Collaborate with the Corporate Secretary & Vice President and the Head of Tribunal Legal Advisory as a member of the department’s management team to identify and continuously improve Tribunal rules, processes, administration, and operations, and promote employee and team engagement.
Liaise with other departments to communicate shared service needs to ensure the smooth functioning of hearings.
Tribunal Administration
Notify the Chief Adjudicator of required adjudicator panel assignments, advise of any conflicts or scheduling considerations, and confirm panel assignments to adjudicators.
Ensure the smooth operation of in-person and virtual hearings, including the deployment of registrar resources, confirming all hearing needs (translation, interpretation, technology, physical and virtual access) are identified and addressed, and proactively identifying and resolving issues that may impede the efficient administration of hearings.
Manage, develop, test, and maintain electronic document and case management systems, ensure that records of proceeding are accurately maintained and made available/published in a timely fashion, and arrange for the delivery of certified records of proceedings to parties, the court or other agencies on appeals.
Oversee court reporting, translation, and security services, the verification of related invoices, and contract/procurement needs.
Fulfill the role of Hearings Registrar as required, including the receipt of filings, scheduling of hearings, issuance of notices of hearing, attending hearings, marking exhibits, maintaining lists of exhibits, inputting information into document and case management systems, administering oaths, maintaining hearing room decorum and security, and ensuring the orderly flow of access by the public to both in-person and virtual hearings.
Records and Reporting
Function as the department’s Records Officer and manage the retention, recording and storage of tribunal records in accordance with applicable policies and legal requirements
Create and maintain records on adjudicator conflicts, assignments, status of proceedings, hearings calendar, adjudicator availability, status of decisions, and quarterly metrics
Ensure that all proceeding documents, records, transcripts, correspondence, and any redactions/sealed records are securely maintained
Contribute to organizational business continuity planning and other planning/reporting needs related to the Tribunal’s operations
Prepare statistical information for inclusion in the Ontario Securities Commission (OSC) Annual Report as related to the Tribunal
Tribunal Stakeholders
Liaise with tribunal stakeholders to ensure that inquiries about the Tribunal and hearings are responded to in an appropriate, accurate, and timely manner
Provide hearings registrar support to adjudicators and hearing participants
Manage communications to other OSC departments regarding the OSC Bulletin, Capital Markets Tribunal website, and access to Tribunal records
Function as a member of the Tribunal’s Operations Committee and raise matters related to the Tribunal’s administration and operations for consideration by the Committee
Provide new adjudicator orientation on the administration of the Tribunal and related processes
What do you need to be successful in this role?
Undergraduate degree or college diploma with a focus in law or related area of study or law clerk certificate
4 years of law clerk litigation experience at a senior level with a major law firm, regulator, or a comparable tribunal or the Divisional Court
1-2 years of staff supervisory experience
Advanced analytical skills and detail oriented
Solid critical thinking and problem solving abilities
Proven attention to detail
Ability to engage with tact and diplomacy
Strong interpersonal and communication skills
Ability to work with highly confidential information with great discretion
Proven professional response to pressure and high stress situations
Excellent client service, communication, and technology skills
Working knowledge of Tribunal’s rules, policies, and document and case management systems; the Statutory Powers Procedures Act; and the basic principles of administrative law, securities regulations and the securities industry is an asset, as is completion of the Canadian Securities Course
This opportunity is considered to be a business critical role supporting the Capital Markets Tribunal.
Grow your career and make a difference working at the OSC.
* OSC Employees: please apply in Workday using the Browse Jobs feature within your Jobs Hub *
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.
The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is our priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the 2SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
The OSC is a proud partner with the following organizations: Ascend Canada, BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada
If you require an accommodation during the recruitment process, please let us know by contacting our confidential inbox HRRecruitment@osc.gov.on.ca.
Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.