Securities Paralegal

Position Summary

DSLC is seeking a Securities Paralegal to provide senior-level transactional and regulatory support to our capital markets practice. This role requires significant, demonstrated experience with financial transactions. DSLC is not looking for a general corporate paralegal, but a specialist who can take the lead on financings and exchange filings with minimal supervision from day one.

This is DSLC's most senior paralegal position and carries real ownership over client files, exchange relationships, and financing transaction execution.

While DSLC's office is based in Vancouver, we will consider solid candidates located anywhere in Western Canada who meet all of the role's requirements, given the firm's hybrid/remote flexibility.

Key Responsibilities

Financial Transactions (Core Focus)

- Act as lead for private placements from term sheet through closing. Preparing offering documents, reviewing subscription agreements, coordinating investor tracking, preparing resolutions and closing documents, and filing Form 45-106F1
- Support public offerings and prospectus transactions, coordinating information from clients, advisors, and underwriters
- Coordinate closings independently, including preparation of closing agendas, closing books, and officer's certificates
- Liaise directly with transfer agents, underwriters, and U.S. counsel where cross-border elements are involved

Exchange Filings & Regulatory Compliance

- Prepare and submit filings to the TSX Venture Exchange, TSX, and/or CSE, including listing applications and notices related to financings and corporate actions
- Manage continuous disclosure obligations, including news releases, material change reports, and periodic filings via SEDAR+ and SEDI
- Interpret and apply Canadian securities legislation, CSA policies, and exchange rules to client transactions
- Manage compliance calendars across multiple reporting issuer clients, proactively flagging deadlines and issues
- Serve as primary point of contact for exchange and securities commission correspondence

Corporate Governance





- Maintain minute books and corporate records for reporting issuer clients
- Manage stock option and incentive plan administration, cap table maintenance, and equity records
- Draft resolutions and materials for annual general meetings and special meetings

General

- Supervise and mentor junior paralegals as needed
- Manage a high-volume, multi-client file load independently
- Exercise sound judgment and discretion with market-sensitive information

Qualifications

Required

- Minimum 3 years of experience in securities/capital markets work, with significant, hands-on experience leading financial transactions (private placements, public offerings, or comparable financings). This is a non-negotiable requirement for this role
- Demonstrated, current experience with TSX-V and/or TSX filing requirements
- Solid working knowledge of SEDAR+, SEDI, and CUSIP/ISIN application processes
- Proven track record acting as team lead or primary file owner on financing closings, not merely supporting one
- Strong understanding of the BC/Canadian securities regulatory framework (National Instruments, exchange policies)

Preferred

- Experience with prospectus offerings or reverse takeovers
- Experience with junior mining or resource-sector issuers
- Experience coordinating with U.S. counsel on cross-border financings
- Prior experience supervising junior paralegals

Core Competencies

- High-level ownership and autonomy. This role is not suited to a candidate who needs close supervision
- Resilient, even-tempered, and unflappable under pressure, particularly around closings
- Comfortable working closely with a direct, high-intensity, fast-paced principal,



and able to stay professional and solution-focused in high-stress moments
- Strong written communication for regulatory and exchange correspondence
- Discretion in handling confidential and market-sensitive information
- Confidence liaising directly with exchange staff, regulators, clients, and external advisors

Compensation & Perks Based on current Vancouver market comparables for securities paralegal roles with transaction-lead responsibility.

From $115,000, plus:

- Performance bonus eligible
- Comprehensive benefits package (extended health and dental)
- Hybrid/remote work flexibility

Reporting Structure DSLC is a small, boutique firm with two lawyers, a Managing Director, and two paralegal positions (this role and a Corporate Paralegal). This role reports to David W. Smalley and/or the Managing Director, and will work in close, direct collaboration with both lawyers on financing transactions and exchange matters. Given the firm's size, this role carries a high degree of ownership and visibility. There is no layer of intermediate staff between this position and the firm's principals.

This is a close, high-touch working relationship with the firm's principal; well-suited to someone who is confident, thick-skinned, and unbothered by a direct communication style.

About DSLC

David Smalley Law Corporation is a Vancouver-based law firm.

Principal

David W. Smalley advises CEOs and presidents on financing and business strategy, and provides corporate, commercial, and securities legal services. Mr. Smalley has practiced corporate, commercial, and securities law extensively, with a particular focus on financing for public companies, private companies, and entrepreneurs across all sectors, making this role especially well-suited to a candidate who wants ongoing, hands-on involvement in active financing transactions rather than routine maintenance work.

Pay: From $115,000.00 per year

Benefits

- Casual dress
- Extended health care
- Flexible schedule
- Paid time off
- Work from home

Work Location: Hybrid remote in Vancouver, BC

📌 Securities Paralegal (Vancouver)
🏢 David Smalley Law
📍 Vancouver