Senior Manager of Listings, TSXV
1 month ago
Explore Beyond the Conventional - TMX Careers
The TMX group encompasses prominent global exchanges, including the Toronto Stock Exchange and Montreal Exchange, along with various innovative entities that enhance capital markets. As a unified global team, we connect across functions, industries, and regions, transforming opportunities into actions that drive global economic growth and progress.
Are you prepared to engage in impactful work?
In this role, reporting to the Director of the Listings department at TSX Venture Exchange (TSXV), you will serve as a key client-facing representative within the Listed Issuer Services Department. Your primary responsibility will involve the independent evaluation and analysis of listing notifications and submissions related to diverse transactions of Exchange-listed issuers.
Core Responsibilities
- Evaluate applications and proposals submitted by listed issuers, authorize transactions and actions as appropriate, and communicate decisions to the management of listed issuers and their advisors, including auditors and legal counsel.
- Draft written summaries that encapsulate an applicant's submissions, issues, waiver requests, analysis, and recommendations (when policy waivers or discretion are necessary).
- Examine documents for adherence to professional standards:
- For CPA candidates: Financial statements must comply with IFRS and prospectus regulations.
- For LL.B candidates: Legal and Title opinions must align with securities legislation.
- For P. Geo candidates: Mining/Oil & Gas technical reports must conform to NI standards as applicable.
- Compose and dispatch formal communications to Listed Issuers and official bulletins for dissemination to market participants.
- Oversee and manage the processing of Issuer filings promptly.
- While maintaining a pro-business and solution-oriented mindset, ensure that issuers conduct business in accordance with the rules and policies, ensuring ongoing eligibility for listing on TSX Venture Exchange.
- Collaborate with the Exchange's Compliance and Disclosure personnel on matters pertinent to both Listed Issuer Services and Compliance and Disclosure.
- Offer guidance to the public, listed companies, and their advisors. This includes discussions with stakeholders regarding proposals that impact Listed Issuer policy, providing insights on the Exchange's potential interpretative stance, and advising issuers and their advisors on procedural matters.
- Execute special assignments and additional filing submissions as directed by the Director of Listed Issuer Services.
- Ensure accurate billing of fees and the prompt collection of fees on assigned submissions.
- Timely updates of internal submission management systems.
- Engage in special assignments and/or public speaking engagements and participate in Exchange workshops as required within the Listed Issuer Services group.
- Contribute as an instructor in the TMX Learning Academy.
- Participate in relationship management initiatives with legal professionals, investment banking experts, management of listed companies, and other stakeholders in the capital markets.
Essential Qualifications
- A business degree (B.Comm) or Business Diploma with a concentration in Finance or Accounting.
- Professional designation (CPA, LL.B, P. Geo) is preferred.
- 5+ years of pertinent work experience in the relevant field (experience in the securities industry is preferred).
- Outstanding analytical and communication skills are essential.
- The ability to work autonomously within time constraints is crucial.
- Proficient in Microsoft Office (Word, Excel, PowerPoint), Salesforce, and Google Workspace is advantageous.
Desirable Qualifications
- Completion of the Canadian Securities Course and other industry-related training is a definite asset, along with an understanding of the public venture capital landscape concerning junior companies.
- Familiarity with TSX Venture Exchange's Listed Issuer Corporate Finance Manual, the Securities Act, and the Business Corporations Act would be beneficial.
- Knowledge of TSX and TSX Venture trading regulations, including clearing and settlement processes, would be advantageous.
Salary Range: 100K/year - 140K/year
Please note that the Salary Range provided is a guideline only. The salary offered may vary based on factors such as the successful candidate's relevant knowledge, skills, and experience.
Are you ready to enhance your career with meaningful work, supportive leadership, and the flexibility and programs to help you thrive as part of #TeamTMX?
TMX is dedicated to fostering a collegial work environment where all individuals are treated with dignity and respect, reflecting the diversity of the community in which we operate. We provide accommodations for applicants and employees who require them.
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