Senior Manager, Compliance & Disclosure

TMX Group; Toronto; On-site; CAD 80,000 - 120,000; Full time

Job summary

Join a dynamic and forward-thinking organization as a Senior Manager in Compliance & Disclosure. In this pivotal role, you will oversee compliance matters for listed issuers, collaborating closely with various teams and stakeholders to ensure adherence to listing requirements. Your expertise in finance and accounting, along with your strong communication and organizational skills, will be vital in drafting comprehensive reports, analyzing corporate information, and engaging with issuer management. This role offers the opportunity to make a significant impact in a collaborative environment that values diversity and professional growth. If you are ready to take the next step in your career and contribute to meaningful work, we invite you to apply.

Qualifications

• 3-5 years of experience in business or financial auditing.
• Strong understanding of finance and accounting principles.

Responsibilities

• Draft reports and recommendations on issuers’ operations and compliance.
• Analyze financial information to ensure compliance with listing requirements.

Skills

Finance and Accounting Principles

Communication Skills

Meeting Management

Organizational Skills

Education

Professional Finance Designation (CPA, CFA)

Tools

TSX Company Manual

TSXV Corporate Finance Manual

Job description

Senior Manager, Compliance & Disclosure

Locations: Toronto - 100 Adelaide St W

Time Type: Full Time

Posted on: 6 days ago

Application Deadline: February 20, 2025 (7 days left to apply)

Job Requisition ID: R-4840

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.

Ready to be part of the action?

We are seeking a Senior Manager, Compliance, to oversee compliance matters for listed issuers that have become non-compliant with our listing requirements. This role involves collaborating closely with the TSX and TSXV Capital Formation teams, issuer management, and their legal and financial advisors, as well as engaging with other regulators as needed. The Senior Manager will be responsible for identifying deficiencies, defining and communicating remedial actions, formulating recommendations, and monitoring the execution of agreed-upon resolutions.

Key Accountabilities:

• Report Preparation: Draft comprehensive written reports, memos, and recommendations on issuers’ operations and affairs, including thorough reviews of financial statements, management practices, and capital financing structures.

• Analysis and Recommendations: Analyze corporate and financial information to recommend and communicate necessary remedial actions aimed at ensuring compliance with TSX listing maintenance requirements.

• Support TSXV: Collaborate with the TSXV in their analysis of corporate and financial information to recommend and communicate remedial actions that will facilitate Issuer compliance with TSXV listing maintenance requirements.

• Meeting Coordination: Organize and lead conference calls and in-person meetings with issuer corporate boards and their professional advisors.

• Compliance Enforcement: Address non-compliance matters related to the Listings Agreement, Rules, and Policies of the TSX and TSX Venture Exchange.

• Direct Communication: Engage directly with issuer management, corporate boards, and professional advisors to educate them on compliance issues and resolve deficiencies.

• Monitoring and Review: Review complaints, public disclosure documents, and monitor listed issuer activities to proactively detect and address policy and corporate governance concerns.

Must Haves:

• Professional finance designation (CPA, CFA) with a strong understanding of finance and accounting principles.

• 3 to 5 years of experience in business or financial auditing.

• Commitment to delivering high-quality work with a focus on responsiveness and professionalism.

• Excellent communication and meeting management skills.

• Strong organizational skills, ability to achieve goals independently, and a team-oriented mindset.

• Familiarity with the TSX Company Manual and TSXV Corporate Finance Manual.

• Proficiency in English is required.

Nice to Haves:

• French language skills.

• Canadian securities and corporate legislation.

Ready to enrich your career with impactful work and flexibility? 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.