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Senior Specialist, Compliance
24 hours ago
Reporting to the Director 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.
This role reports to:
Director, Compliance, TSX Venture
This role is hybrid (2 - 3 days/week in the office) - we are open to candidates being located in one of the following TMX Canadian office locations: Vancouver or Calgary
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 the Director 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 Director.
- Carry out special assignments as required by the Director or Managing Director.
- Ensure correct billing of fees and the timely collection of fees as required.
Must Have(s):
- 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
- Excellent analytical and communication skills
- Strong management, planning and organizational skills due to the high volume of files
- Ability to work independently within time constraints
- Proficient computer skills in Microsoft Office and Google for work applications
Nice to Have(s):
- Completion of the Canadian Securities Course and other industry related courses, understanding of the public venture capital marketplace in relation to junior companies
- 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
Salary Range:
$80,500/year - $85,000/year CAD
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.
The recruiting efforts for this role are intended to fill a vacant position.
For this role AI-assisted tools are utilised as one input in the application and screening process. AI does not make final hiring or interview decisions.
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