Compliance Senior Analyst

3 weeks ago


Vancouver, British Columbia, Canada TSX Inc. Full time

Position Overview

As a Compliance Senior Analyst at TSX Inc., you will play a pivotal role in ensuring adherence to regulatory standards and maintaining the integrity of our operations. Your expertise will be crucial in analyzing documentation and ensuring compliance with listing requirements.

Key Responsibilities:

  • Examine financial and ongoing disclosure documents to assess Issuer compliance with the Exchange's ongoing listing standards.
  • Detect instances of Issuer noncompliance with the Exchange's Listing Agreement and relevant securities legislation, initiating necessary corrective measures.
  • Conduct reviews for reinstatement to confirm that Issuers fulfill specific Exchange criteria.
  • Draft correspondence, establish timelines, and negotiate extensions directly with Issuer management and legal counsel.
  • Prepare comprehensive analyses for the Senior Team Manager, including recommendations for addressing identified deficiencies.
  • Offer guidance and mentorship to the public, Issuers, and their advisors on policy matters, while consulting with the Senior Team Manager as needed.
  • Execute special projects as directed by the Senior Team Manager or Managing Director.
  • Ensure precise billing of fees and prompt collection as required.

Essential Qualifications:

  • A business degree (B.Comm) or equivalent qualification with a focus on Accounting.
  • Proficiency in reading and interpreting financial statements, with knowledge of IFRS and US GAAP.
  • Enrollment in an accounting designation is advantageous.
  • A minimum of 2 years of relevant business experience, preferably within the securities sector.
  • Strong analytical and communication skills are essential.
  • Excellent management, planning, and organizational abilities to handle a high volume of files.
  • The capacity to work autonomously under time constraints is vital.
  • 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 the TSX Venture Exchange's Listed Issuer Corporate Finance Manual, the Securities Act, and the Business Corporations Act is beneficial.
  • Proficient in Microsoft Office and Google Workspace applications.

Compensation: Salary range is $75,000 - $80,000 per year.

Company Culture:

At TSX Inc., we are committed to fostering a dynamic work environment that values diversity and inclusivity. We believe in the importance of wellness and work-life balance, offering flexible work arrangements and generous time-off policies. Join us in making a significant impact in the financial markets while growing your career in a supportive atmosphere.



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