Senior Listings Manager (Legal), TSXV
Job Fit Check
Base Career helps you apply smarter for this job.
Key skills for this role
About the Role
TMX Group is hiring a Senior Listings Manager for TSX Venture Exchange in Vancouver. This client-facing role involves independent review and analysis of listing notifications and submissions, ensuring compliance with exchange rules and policies.
Key Skills for This Role
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
- Prepare written memos and oral presentations outlining a summary of an applicant's submissions, issues and waiver requests, providing analysis and recommendations for consideration by the TSX Venture Exchange's Executive Listings Committee
- Review legal opinions and corporate records for compliance with professional standards and TSX Venture Exchange requirements
- 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
- Identify potential compliance concerns and liaise with the Exchange's Compliance and Disclosure staff on issues relevant to both Listed Issuer Services and Compliance and Disclosure
- Provide guidance on legal and/or TSX Venture Exchange policy matters to internal stakeholders, the public, and to listed companies and their advisors
- Participate on special project teams to advance enterprise objectives and improve business processes
- Ensure accurate billing of fees and the timely collection of fees on assigned submissions
- Carry out special assignments and/or public speaking engagements and participate in Exchange workshops as required within the Listed Issuer Services group
- Participate as an instructor in the TMX Learning Academy and being part of relationship management activities with lawyers, investment banking professionals, management of listed companies, and other capital market stakeholders
Requirements
- Professional designation (LLB) including securities law expertise
- Excellent analytical and communication skills
- Ability to work independently within time constraints
- Proficient in Microsoft Office (Word, Excel, PowerPoint), Salesforce and Google for work suite is an asset
- 5+ years of experience, expertise and technical skills including significant understanding of the Capital Markets industry
- A strong reputation with stakeholders and peers
- Understanding of the public venture capital marketplace in relation to junior companies (nice to have)
- Experience with TSX Venture Exchange's Listed Issuer Corporate Finance Manual, the Securities Act and the Business Corporations Act (nice to have)
- Familiarity with the TSX and TSX Venture trading rules, including clearing and settlement procedures (nice to have)
- Completion of the Canadian Securities Course and other industry related courses (nice to have)
- Familiarity with Google Gemini and experience adopting AI solutions (nice to have)
Full Job Posting
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.
Ready to be part of the action?
- Reporting to the Director in the Listings department of TSX Venture Exchange (TSXV), as a client facing representative of TSXV's Listed Issuer Services Department.
- TSXV is part of TMX Group's Capital Formation division, which is comprised of its equity listing business, and also includes Toronto Stock Exchange.
- TSXV is a public venture capital marketplace for emerging companies across a diverse mix of industry sectors including industrial, natural resources, life sciences, technology and financial services.
- TSXV is Canada's premier junior listings market, providing companies at the early stages of growth with the opportunity to raise capital and for investors to invest in and trade those issuers' securities.
- This role is key for the independent review and analysis of listing notifications and submissions pertaining to various transactions of Exchange listed issuers.
- This role reports to: Director, Listings
- This role is hybrid (2 3 days in the office/week) based in Vancouver, BC.
Key Accountabilities
- 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 written memos and oral presentations outlining a summary of an applicant's submissions, issues and waiver requests, providing analysis and recommendations for consideration by the TSX Venture Exchange's Executive Listings Committee
- Review legal opinions and corporate records for compliance with professional standards and TSX Venture Exchange requirements
- 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
- Identify potential compliance concerns and liaise with the Exchange's Compliance and Disclosure staff on issues relevant to both Listed Issuer Services and Compliance and Disclosure
- Provide guidance on legal and/or TSX Venture Exchange policy matters to internal stakeholders, the public, and to listed companies and their advisors
- Participate on special project teams to advance enterprise objectives and improve business processes
- Ensure accurate billing of fees and the timely collection of fees on assigned submissions
- Carry out special assignments and/or public speaking engagements and participate in Exchange workshops as required within the Listed Issuer Services group
- Participate as an instructor in the TMX Learning Academy and being part of relationship management activities with lawyers, investment banking professionals, management of listed companies, and other capital market stakeholders
Must Have(s)
- Professional designation (LLB) including securities law expertise
- Excellent analytical and communication skills
- The ability to work independently within time constraints is essential
- Proficient in Microsoft Office (Word, Excel, PowerPoint), Salesforce and Google for work suite is an asset
- 5+ years of experience, expertise and technical skills including significant understanding of the Capital Markets industry
- A strong reputation with stakeholders and peers
Nice to Have(s)
- Understanding of the public venture capital marketplace in relation to junior companies
- Experience with TSX Venture Exchange's Listed Issuer Corporate Finance Manual, the Securities Act and the Business Corporations Act
- Familiarity with the TSX and TSX Venture trading rules, including clearing and settlement procedures
- Completion of the Canadian Securities Course and other industry related courses
- Familiarity with Google Gemini and experience adopting AI solutions to assist with efficiency on daily job tasks
Salary Range
- Salary Range: 130,000/year 150,000/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.
In the market for…
- Excitement Explore emerging technology and innovation, as well as ventures and digital finance that shape the future of global markets!
- 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.
- Impact More than a platform, we use our talents to power mission critical systems that drive global economic advancement, innovation, and growth.
- Wellness From empathetic leadership to a culture of flexibility and balance, we believe wellness at work creates the maximum yield and a stronger 'we'.
- 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.
Additional Information
- Please note that our company is not currently sponsoring work permit applications and the applicant must be authorized to work in the country where this position is located.
- 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 for this job in 1 click
Skip the repetitive application forms
Install the Base Career Chrome Extension and autofill job applications across major job boards with your profile.
Trusted by over 500,000 job seekers on Base Career
More from this employer
More jobs at TMX GROUP
Senior Listings Manager (Legal), TSXV
Vancouver, CAN
TMX Group seeks a Senior Listings Manager for TSX Venture Exchange to review listing applications, ensure compliance with exchange rules, and provide guidance on securities law matters. Requires an LLB with securities la
Senior Listings Manager - TSXV Listings
Vancouver, CAN
TMX Group is seeking a Senior Listings Manager for TSX Venture Exchange to independently review and analyze listing notifications and submissions. You will communicate decisions to issuers and advisors, prepare memos for
Senior Listings Manager - TSXV Listings
Vancouver, CAN
TMX Group seeks a Senior Listings Manager for TSX Venture Exchange to review listing applications, ensure compliance with exchange rules, and provide guidance on financial statement requirements. Requires a CPA with audi
Systems Engineer, Patch Management (12 month contract)
Toronto, CAN
TMX Group is seeking a Systems Engineer for a 12-month contract to architect, test, and execute enterprise-wide software updates and security patches across diverse platforms. You will ensure adherence to patching SLAs,
Systems Engineer, Patch Management (12 month contract)
Toronto, CAN
TMX Group is seeking a Systems Engineer for a 12-month contract to architect, test, and execute enterprise-wide software updates and security patches. The role requires expertise in patch management tools (WSUS, Red Hat
Software Engineer Intern (Java)
Toronto, CAN
TMX Group is seeking a Software Engineer Intern (Java) to work with application/platform developers and implement business requirements. The role focuses on maximizing AI adoption in the development environment. Requires
Software Engineer Intern (Java)
Toronto, CAN
TMX Group is seeking a Software Engineer Intern (Java) to work with application/platform developers and implement business requirements into concrete solutions. The intern will maximize AI adoption in the development env
Spécialiste, Succès Des Clients
Montréal, CAN
TMX Group seeks a Client Success Specialist to join the Equity Plan Solutions team, bridging data administration, platform configuration, and client financial reporting. The role involves managing data execution, system
Senior Listings Manager (Legal), TSXV
Vancouver, CAN
Senior Listings Manager - TSXV Listings
Vancouver, CAN
Senior Listings Manager - TSXV Listings
Vancouver, CAN
Systems Engineer, Patch Management (12 month contract)
Toronto, CAN
Systems Engineer, Patch Management (12 month contract)
Toronto, CAN
Software Engineer Intern (Java)
Toronto, CAN
Software Engineer Intern (Java)
Toronto, CAN
Spécialiste, Succès Des Clients
Montréal, CAN