Senior Manager, Compliance & Disclosure

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?

We are seeking a Senior Manager, Compliance, to oversee compliance matters for listed issuers that have become non-compliant with our listing requirements. This role involves collaborating closely with the TSX and TSXV Capital Formation teams, issuer management, and their legal and financial advisors, as well as engaging with other regulators as needed. The Senior Manager will be responsible for identifying deficiencies, defining and communicating remedial actions, formulating recommendations, and monitoring the execution of agreed-upon resolutions.

Key Accountabilities:

• Report Preparation: Draft comprehensive written reports, memo and recommendations on issuers’ operations and affairs, including thorough reviews of financial statements, management practices, and capital financing structures, all while considering client needs and relevant requirements.

• Analysis and Recommendations: Analyze corporate and financial information to recommend and communicate necessary remedial actions aimed at ensuring compliance with TSX listing maintenance requirements.

• Support TSXV: Collaborate with the TSXV in their analysis of corporate and financial information to recommend and communicate remedial actions that will facilitate Issuer compliance with TSXV listing maintenance requirements.

• Meeting Coordination: Organize and lead conference calls and in-person meetings with issuer corporate boards and their professional advisors to facilitate discussions and resolutions.

• Compliance Enforcement: Address non-compliance matters related to the Listings Agreement, Rules, and Policies of the TSX and TSX Venture Exchange.

• Direct Communication: Engage directly with issuer management, corporate boards, and professional advisors to educate them on compliance issues, identify potential rule violations, and resolve deficiencies.

• Monitoring and Review: Review complaints, public disclosure documents, and monitor listed issuer activities to proactively detect and address policy and corporate governance concerns.

Must haves:

• Professional finance designation (CPA, CFA) with a strong understanding of finance and accounting principles.

• 3 to 5 years of experience in business or financial auditing.

• Commitment to delivering high-quality work with a focus on responsiveness and professionalism.

• Excellent communication and meeting management skills.

• Strong organizational skills, ability to achieve goals independently, and a team-oriented mindset.

• Familiarity with the TSX Company Manual and TSXV Corporate Finance Manual.

• Proficiency in English is required.

Nice to Haves:

• French language skills.

• Canadian securities and corporate legislation.

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 Team Impact 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.