Examiner

TMX Group; Montreal; On-site; CAD 60,000 - 100,000; Full time

Job summary

Join a forward-thinking organization that plays a pivotal role in the capital markets. As an Examiner, you'll engage in regulatory examinations, ensuring compliance and enhancing operational integrity. This hybrid role allows you to balance in-office collaboration with remote flexibility. You'll be part of a dynamic team, contributing to the advancement of industry standards while developing your professional skills. If you're passionate about finance and regulatory frameworks, this is your chance to make a significant impact within a supportive and diverse environment.

Qualifications

• Experience in derivatives compliance and trading is essential.
• Strong communication skills in English and French are required.

Responsibilities

• Conduct regulatory examinations and prepare documentation.
• Draft reports and communicate findings to management.
• Participate in annual planning and risk assessments.

Skills

Experience in examinations and/or compliance

Knowledge of the applicable regulatory framework

Excellent communication skills in English and French

Negotiation skills

Organizational skills

Attention to detail

Ability to write clear and concise documents

Team spirit

Education

University degree in finance, business administration, economics, or mathematics

Canadian Securities Course (CSC)

Derivatives course(s)

Job description

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?

Reports to: Director, Core Regulatory Functions
Job Grade / Level: 5

About the Position

Reporting to the Director, Core Regulatory Functions, the Examiner carries out regulatory examinations of the Bourse Approved Participants by preparing files and documentation, conducting testing and interviews, writing examination reports, and updating the Participant’s risk scorecard. In addition, the Examiner participates in the annual planning of the examination schedule and actively participates in different projects of the Division.

This role is Hybrid (2 - 3 days at the office) - based in Montreal, QC

Key Accountabilities:

• Plans examinations by conducting preliminary assessment of the Approved Participants based on previous examinations, input from other departments, and priorities of the Division in order to determine the scope and principal areas of focus of the examination;
• Prepares examinations by understanding the Approved Participant’s organizational and business structure, policies and procedures, and compliance culture;
• Assesses the Approved Participant’s compliance with the rules of the Bourse by executing the examinations program, using the pre-established tests;
• Assesses Approved Participant’s written policies and procedures to ensure that they are properly documented and adhered to by the Approved Participant’s employees;
• Completes examination work by documenting the tests conducted and the resulting findings;
• Communicates examination progress and findings by providing status updates during meetings with the Director, highlighting unresolved issues and reviewing executed work;
• Drafts reports describing observations made during the examination and issues recommendations for correcting the deficiencies raised within the prescribed timelines;
• Ensures that examination files include all relevant material used during the examination;
• Coordinates with Senior Examiners and Examiners to ensure the distribution and completion of tasks common to the service;
• Collaborates with Examinations colleagues to perform the annual Participant Risk Assessment;
• Updates and maintains professional knowledge by keeping informed of compliance and regulatory changes, by participating in seminars and training sessions provided internally and externally;
• Collaborates on any project related to examinations;
• Keeps the updated record of all examination files, taking into account applicable performance benchmarks;
• Follows the procedures and processes applicable to examinations and takes part in their potential improvement;
• As required, participates in regulatory amendment proposals initiated by the Division, mainly by carrying out analyses;
• Maintains confidentiality of information at all times;
• Carries out any other related task assigned by the immediate supervisor.

Must Have(s):

• Experience in examinations and/or compliance in the securities industry and, more specifically, in the field of derivatives compliance and/or trading, or with a member of a regulatory or self-regulatory organization (SRO) as examiner for this organization;
• Experience in derivatives trading and back-office operations;
• University degree in finance, business administration, economics, mathematics, or a related field;
• Canadian Securities Course (CSC);
• Derivatives course(s), such as the DFOL - Derivatives Fundamentals and Options Licensing and/or training;
• Knowledge of the applicable regulatory framework;
• Excellent ability to communicate in both English and French;
• Excellent negotiation skills;
• Skills in formulating findings and recommending follow-up actions;
• Ability to make sound decisions, based on good judgement, analysis, and evidence; all of which are well documented;
• Organizational skills and priority management;
• Attention to detail;
• Ability to write documents that are simple, clear, concise and logical;
• Tact and diplomacy;
• Discretion;
• Autonomy;
• Team spirit and positive contributor to team morale;
• Demonstrate strong teamwork, working collaboratively with a team of diverse professionals;
• Receptive to constructive feedback for professional development and growth.

Nice to have:

• CFA or other professional designation;
• Experience analyzing statistical data;
• Knowledge of and experience with market supervisory systems.

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.