Senior Specialist, Compliance - TSX-V

TMX Group; Vancouver; Hybrid; CAD 80,000 - 85,000; Full time

Job summary

Join a dynamic and innovative team as a Senior Specialist in Compliance, where you'll play a crucial role in maintaining the integrity of the capital markets. In this position, you will interact with Issuers to ensure compliance with listing requirements, analyze financial statements, and provide expert guidance on corporate disclosure. This hybrid role offers the flexibility of working from home while being part of a collaborative environment that values your contributions. If you're ready to make a significant impact and thrive in a supportive workplace, this opportunity is perfect for you.

Qualifications

• 2+ years of experience in the securities industry preferred.
• Strong understanding of IFRS and US GAAP is essential.

Responsibilities

• Analyze financial documentation for compliance with Exchange requirements.
• Provide guidance to Issuers on corporate disclosure and compliance.

Skills

Analytical Skills

Communication Skills

Management Skills

Planning Skills

Organizational Skills

Financial Statement Analysis

Ability to work independently

Education

Business Degree (B.Comm)

Accounting Designation (preferred)

Completion of Canadian Securities Course

Tools

Microsoft Office

Google for Work

Job description

Senior Specialist, Compliance - TSX-V

Apply locations Vancouver - 733 Seymour St time type Full time posted on Posted 2 Days Ago job requisition id R-5040

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?

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.

Key Accountabilities:

• 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 necessary 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 guidance to the public, and to Issuer and their advisors, including conferring with them on policy issues and providing guidance on the Exchange’s position or interpretation.
• Carry out special assignments as required by the Senior Team Manager or Managing Director.
• Ensure correct billing of fees and the timely collection of fees as required.

Must Haves:

• A business degree (B.Comm) or equivalent degree/diploma with a specialization in Accounting. Enrollment in an Accounting designation is preferred.
• Minimum 2 years of related business experience (securities industry is preferred).
• Ability to read and analyze financial statements with understanding of IFRS and US GAAP.
• Excellent analytical and communication skills are a must.
• Strong management, planning and organizational skills due to the high volume of files.
• The ability to work independently within time constraints is essential.
• 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.
• Proficient computer skills in Microsoft Office and Google for work applications.

Nice to Haves:

• Familiarity with TSX Venture Exchange’s Listed Issuer Corporate Finance Manual, the Securities Act and the Business Corporations Act.
• Fluency in verbal and written communication in French.

Note:

• The role is open to either location - Vancouver or Calgary.
• Hybrid role, 2 days in office is required.

Salary Range: $80,000 - $85,000 /year
Please note that the Salary Range included is a guideline only. The salary offered may vary based on factors, including, but not limited to, the successful candidate’s relevant knowledge, skills, and experience.

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.