Senior Manager, Compliance, Capital Formation

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 Managing Director, Compliance TSX and TSX Venture Exchange, the Senior Manager liaises with listed Issuers that have become noncompliant with listing requirements and provides advice and direction to listed issuers to resolve compliance deficiencies and listing maintenance requirements.

The Senior Manager will work with TSX Venture Exchange and TSX Capital Formation staff and listed Issuer management and their legal and financial advisors as well as with other regulators as considered necessary, to identify deficiencies, define and communicate remedial action requirements, formulate possible recommendations and alternatives and monitor the execution of agreed outcomes and resolutions.

Location : Vancouver or Calgary or Toronto

Key Accountabilities :

• Prepare written reports and recommendations outlining an issuer's affairs and operations including a review of financial statements, statutory filings, management quality & conduct as well as reviews of capital, financing and promotional activities, while taking into consideration client needs and all relevant requirements, policies and precedents.
• Analyze corporate and financial information to recommend and communicate remedial actions to achieve Issuer compliance with, among other things, the listing maintenance requirements of TSX Venture Exchange.
• Conduct suitability reviews of the directors and officers of listed issuers.
• Organize and lead conference calls and in person meetings with issuer corporate boards and their professional advisors.
• Review issuer compliance with the Listings Agreement, Rules and Policies of TSX and TSX Venture Exchange.
• Communicate directly with issuer management, their corporate boards and professional advisors to educate, identify and resolve potential rule and policy violations and deficiencies.
• Review complaints, public disclosure documents and monitor listed Issuer activity to detect and resolve policy non-compliance and corporate governance concerns.
• Prepare referral documentation for violations referred to the securities commissions or other regulators.
• Provide mentorship to issuers through industry presentations and participation in Exchange workshops as required.
• Participate in special projects as well as client & business initiatives as required

Must Have Skills :

• Professional finance or legal designation (CPA, CFA. LLB) with strong knowledge of public company finance and accounting as well as a working knowledge of Canadian corporate & securities laws.
• 3 to 5 years of audit or legal experience with a large / medium audit or law firm.
• Commitment to excellence in quality work, responsiveness and courteousness
• Strong written and verbal communication and meeting management skills.
• Well organized self-achiever that is client & team focused and flexible.
• Completion of the Canadian Securities Course and other securities industry related courses are definite assets, as is an understanding of the Capital Markets.

Nice to haves :

Familiarity with the TSXV Corporate Finance Manual, TSX Company Manual as well as Canadian securities and corporate legislation

Salary Range : $130,000 - $140,000 CAD

In the market for

Excitement - Explore emerging technology and innovation, as well as ventures and digital finance that shape the future of global markets! Experience the movement of the market while grounded in the stability of close to 200 years of success.

Connection - With site hubs in some of the world’s most multicultural cities, we leverage our size and structure to create rich connections and belonging while experiencing powerful global impact through our work.

Impact - More than a platform, we use our talents to power mission-critical systems that drive global economic advancement, innovation, and growth.

As well, our employee-led spreads social good via our giving strategy.

Wellness - From empathetic leadership to a culture of flexibility and balance, we believe wellness at work creates the maximum yield and a stronger we .

Plus, with a cloud-first and hybrid workstyle, as well as generous time-off and leaves, we support a life well lived!

Growth - From a growth mindset in our work, to expansion in our business, TMX is home to action-takers energized by the achievement of ambitious growth.

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.