Senior Specialist, Listings

September 18 2023
Categories Bank, Insurance, Financial services
Toronto, ON • Full time
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 of the TSX Venture Exchange Listings department, the Senior Specialist, TSXV Listings is responsible for the independent review, analysis and approval of a variety of corporate finance transactions submitted by listed issuers.

Key Responsibilities:

  • Review applications and/or proposals made by listed issuers, approve transactions and/or further actions where appropriate; communicate decisions to listed issuers management and/or their advisors, including auditors and legal counsel.

  • Prepare and send formal correspondence to Listed Issuers and official bulletins to be disseminated to the market participants.

  • Review and coordinate the processing of Issuer filings in a timely manner.

  • Prepare written memo outlining a summary of the applicant's submissions, issues and waiver requests, analysis and recommendation (when a policy waiver or discretion is required)

  • While maintaining a pro-business and solutions oriented approach, ensure that issuers transact business within the rules and policies and continuing eligibility for listing on TSX Venture Exchange.

  • Liaise with the Exchange's Compliance staff on issues relevant to both Listings and Compliance.

  • Provide guidance to the public, and to listed companies and their advisors. This includes conferring with them with respect to proposals affecting Listed Issuer policy, providing guidance on the Exchange's possible position of interpretation, and suggesting to issuers and their advisors on how to proceed. This would be done in consultation, where appropriate, with a Senior Listing Manager or the Managing Director.

  • Carry out special assignments and other filing submissions as the need arises by the Managing Director of Listings.

  • Ensure accurate billing of fees and the timely collection of fees on assigned applications.

  • Timely updating of the TMX Linx system as it relates to every assigned submission.

  • Carry out special assignments and/or public speaking engagements and participate in Exchange workshops as the need arises within the Capital Formation Division.

Must Have Skills:

  • A business degree (B.Comm) or Business Diploma with a major in Finance or Accounting.

  • A post graduate degree or professional designation (CPA, LLB, CFA, MBA, CBV) is preferred.

  • 3-5 years of related business experience (securities industry is preferred).

  • Excellent analytical and communication skills are a must.

  • The ability to work independently within time constraints is crucial.

  • Completion of the Canadian Securities Course and other industry related courses is a definite asset as is an understanding of the public venture capital marketplace in relation to junior companies.

  • Familiarity with TSX Venture Exchange's Corporate Finance Manual, the Securities Act and the Business Corporations Act would be an asset.

  • Familiarity with the TSX and TSXV trading rules, including clearing and settlement procedures would be an asset.

  • Proficient computer skills in Microsoft Office (Word, Excel, PowerPoint, Outlook) and Google Suite.

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 build rich connections and belonging while experiencing powerful global impact through our work.

Impact - More than a platform, we use our talents to power critically important 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.

Apply now!

Similar offers

No similar offer found.
An error has occured, try again later. network