Senior Manager, Compliance Disclosure
Reporting directly to the Director, Compliance & Disclosure, the Senior Manager liaises with Exchange Issuers that have been become noncompliant with Exchange Requirements and provides advice and direction to effectively resolve disclosure, compliance and continued listing requirements and deficiencies.
The Senior Manager will work with the Issuer’s management, legal counsel and auditor and with other regulators as considered necessary, to identify deficiencies, define any requirements, formulate and review possible alternatives and oversee execution of suitable resolutions.
•Ensure Issuer compliance with the Exchange’s Listings Agreement, Rules, and Policies.
•Analyze corporate and financial information and recommend action to be taken with respect to Issuer compliance with, among other things, the continued listing requirements of TSX Venture Exchange.
•Liaise and correspond with Issuer management, a board of directors and their professional advisors to identify and resolve potential Policy breaches and deficiencies.
•Review complaints, public disclosure documents and lssuer activity to detect Policy breaches and corporate governance concerns.
•Conduct any suitability reviews of the directors and officers of the Issuer.
•Recommend appropriate action and prepare referral documentation for cases referred to the securities commissions or other regulators.
•Provide mentorship to issuers through industry presentations and participation in Exchange workshops.
•Participate in special projects as requested.
Must Have Skills:
•CPA – Chartered Accountant, or LLB
•Min 3 years audit or legal experience with a large/medium sized accounting or
•5 to 10 years of related business experience.
•Excellent analytical and written and verbal communication skills.
•Completion of the Canadian Securities Course and other industry related courses is a definite asset as is an understanding of the Venture Capital Market in relation to junior companies.
•Familiarity with the Exchange’s Policies, securities legislation and corporate legislation are assets.
•Verbal and written French language skills are an asset.