Senior / Intermediate Securities Law Clerk

March 15 2023
Industries Legal
Categories Banking, Financial, Generalist,
Toronto, ON • Full time

Our Securities Department is currently seeking a Securities Law Clerk to join our dynamic team of professionals. The ideal candidate will be a confident, proactive, highly detail-oriented team player who possesses excellent organizational skills. Working with other law clerks, lawyers and other legal professionals, it is expected that the candidate will be able to manage a high volume of work with tight turnaround times during and outside business hours.

Primary Tasks/Responsibilities

Assist in all aspects of securities related matters including:

  • Drafting and preparing reports (i.e. exempt trade reports (45-106F1)), press releases related to early warning reports, early warning reports, alternative monthly reports, material change reports, issuer event reports, insider reports and performing SEDAR, SEDI and NRD filings;
  • Assisting with continuous disclosure filing matters;
  • Calculating filing fees related to annual financial statements; prepare Ontario and Alberta related participation fee forms;
  • Assisting with investment fund filings, public offering filings and calculating related filing fees;
  • Assisting with CUSIP/ISIN requests through CDS along with CUSIP eligibility matters;
  • Coordinating/assisting with agent for service matters and exemptive relief application matters;
  • Assisting with filings through the OSC e-portal and the BCSC e-services portal;
  • Providing assistance to clients with registration-related matters and completing filings with applicable regulators along with completing filings on NRD related to registrant firm matters and its registered / permitted individuals;
  • Preparing initial firm registration packages and assisting lawyers with respect to clients’ dealer, adviser and/or investment fund manager registration applications, including drafting required forms and supporting documents, communicating with clients, preparing and filing materials with regulatory authorities and preparing client reporting letter;
  • Assisting with preparing and filing of international adviser/international dealer/international investment fund manager permitted client exemption documentation;
  • Assisting with private placement matters;
  • Researching and/or calculating regulatory fees;
  • Drafting routine correspondence;
  • Preparing reporting issuer status lists;
  • Compiling continuous disclosure binders;
  • Performing registration status searches;
  • Issuing press releases with applicable newswires;
  • Providing supervision to administrative support as needed;
  • Assisting other department clerks; and
  • Assisting with other general securities matters as necessary.

Knowledge/Experience Required

  • Law Clerk Certificate from the Institute of Law Clerks of Ontario (ILCO) or a diploma from an Ontario Law Clerk program certified with ILCO;
  • University degree is an asset;
  • Minimum of 5+ years of securities law clerk experience;
  • Working knowledge of the Securities Act (Ontario) and relevant National Instruments;
  • Strong knowledge of the dealer/adviser/investment fund manager registration/exemption processes; and
  • Proficiency with SEDAR, SEDI and NRD;
  • Familiarity and working knowledge with private placements, prospectus offerings, investment fund prospectus related matters and of the dealer / adviser / investment fund manager registration and exemption processes;
  • Awareness of the new SEDAR+ platform coming into effect on June 13, 2023.


  • Excellent time management and organizational skills, and ability to manage multiple priorities;
  • Superior attention to detail and excellent judgment and decision-making skills;
  • Ability to communicate effectively both orally and in writing;
  • Excellent interpersonal skills and the ability to foster strong working relationships within a team;
  • Flexible; easily adapts to different work and communication styles;
  • Projects confidence; professional and mature; and
  • Ability to work outside of normal office hours as needed.

Please Note: Our firm has a COVID-19 Vaccination Policy which requires all firm members to be fully vaccinated with a Health Canada approved COVID-19 vaccine. You will not be asked to disclose your vaccination status during the interview process. If you are offered employment, you will find a vaccination clause in your offer of employment providing that prior to commencing any employment with the Firm, you must be fully vaccinated for COVID-19 and provide proof of a Health Canada approved COVID-19 vaccination. The Firm will make reasonable accommodation efforts if you cannot be vaccinated due to medical, religious, or other grounds to the extent protected by applicable human rights legislation.

Stikeman Elliott is committed to accommodating people with disabilities as part of our hiring process. If you have special requirements, please advise Human Resources during the recruitment process.

We thank all applicants however, only applicants selected for an interview will be contacted.

Apply now!

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