Senior Specialist, Compliance - TSX-V

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

Job summary

Join a forward-thinking company as a Senior Specialist in the Compliance department. This hybrid role involves analyzing financial disclosures, ensuring compliance with Exchange requirements, and providing guidance to Issuers. You'll play a key role in maintaining the integrity of the market while collaborating with a dynamic team. The ideal candidate will have a business degree, strong analytical skills, and a passion for the securities industry. Embrace the opportunity to make a significant impact in a collegial environment that values diversity and supports your professional growth.

Qualifications

• Minimum 2 years of related business experience in the securities industry preferred.
• Ability to read and analyze financial statements with understanding of IFRS and US GAAP.

Responsibilities

• Analyze financial documentation for Issuer compliance with Exchange requirements.
• Provide guidance to Issuers and their advisors on compliance issues.

Skills

Analytical Skills

Communication Skills

Management Skills

Organizational Skills

Financial Statement Analysis

Time Management

Education

Business Degree (B.Comm)

Accounting Designation (preferred)

Completion of Canadian Securities Course

Tools

Microsoft Office

Google for Work

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?

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. 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 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.