Senior Specialist, Compliance - TSX & TSX-V

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Venture outside the ordinary - TMX Careers


The TMX group of companies includes leading global exchanges such as the Toronto Stock Exchange, Montreal Exchange, and numerous innovative organizations enhancing capital markets.  United as a global team, we’re connecting cross-functionally, traversing industries and geographies, moving opportunity into action, advancing global economic growth, and propelling progress. Through a rich exchange of ideas, meaningful collaboration, and a nimble operating model, we're powering some of the nation's most critical systems, fueling capital formation and innovation, bringing increased opportunity to business visionaries, product ingenuity to consumers, and career exploration to our team.

Ready to be part of the action?

 

TMX GROUP - Senior Specialist, Compliance - TSX & TSX-V


Reporting to the Senior Team Manager in the Compliance department of the TSX Venture Exchange, the Senior Specialist supports the quality of the TSXV market by interacting with Issuers that have become noncompliant or require tier movement by providing advice and direction to resolve corporate disclosure, compliance and continued listing requirements deficiencies.


Description:

  • Analyze financial and continuous disclosure documentation and take appropriate action with respect to Issuer compliance with the Exchange’s continued listing requirements.
  • Identify Issuer noncompliance with the Exchange’s Listing Agreement and policies and with applicable securities and corporate legislation and follow up with the vital remedial action.
  • Conduct reinstatement reviews to ensure Issuers meet specific Exchange Requirements.
  • Prepare correspondence, set deadlines and negotiate extensions directly with Issuer management and counsel.
  • Prepare analysis for Senior Team Manager with recommended action for deficiencies identified.
  • Provide mentorship to the public, and to Issuer and their advisors. This includes conferring with them with respect to policy issues, providing guidance on the Exchange’s position or interpretation, and suggesting to Issuers and their advisors on how to proceed. This would be done in consultation, where appropriate, with the Senior Team Manager.
  • Carry out special assignments as the need arises by the Senior Team Manager or Managing Director.
  • Ensure accurate billing of fees and the timely collection of fees as required.


Must Have Skills:

  • A business degree (B.Comm) or equivalent degree/diploma with a specialization in Accounting.
  • Ability to read and analyze financial statements with understanding of IFRS and US GAAP.
  • Enrolment in an accounting designation would be an asset.
  • Minimum 2 years of related business experience (securities industry is helpful).
  • Excellent analytical and communication skills is a requirement.
  • Strong management, planning and organizational skills due to the high volume of files.
  • The ability to work independently within time constraints is crucial.
  • Completion of the Canadian Securities Course and other industry related courses is a definite asset as is an understanding of the public venture capital marketplace in relation to junior companies.
  • Familiarity with TSX Venture Exchange’s Listed Issuer Corporate Finance Manual, the Securities Act and the Business Corporations Act would be an asset.
  • Proficient computer skills in Microsoft Office and Google for work applications.


In the market for…
Excitement - Explore emerging technology and innovation, as well as ventures and digital finance that shape the future of global markets! Experience the movement of the market while grounded in the stability of close to 200 years of success.
Connection - With site hubs in some of the world’s most multicultural cities, we leverage our size and structure to create rich connections and belonging while experiencing powerful global impact through our work.
Impact - More than a platform, we use our talents to power mission-critical systems that drive global economic advancement, innovation, and growth. As well, our employee-led Team Impact spreads social good via our giving strategy.
Wellness - From empathetic leadership to a culture of flexibility and balance, we believe wellness at work creates the maximum yield and a stronger “we”. Plus, with a cloud-first and hybrid workstyle, as well as generous time-off and leaves, we support a life well lived! 
Growth - From a growth mindset in our work, to expansion in our business, TMX is home to action-takers energized by the achievement of ambitious growth.


Ready to enrich your career with impactful work, leaders who truly care, and the flexibility and programs to help you thrive as part of #TeamTMX ? Apply now.


TMX is committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide accommodations for applicants and employees who require it.