Analyst, Listed Company Compliance

The Canadian Securities Exchange, or CSE, began operations in 2003 to provide a modern and efficient alternative for companies looking to access the Canadian public capital markets. The operating company, CNSX Markets Inc., was recognized by the Ontario Securities Commission as a stock exchange in 2004.

Designed to meet the needs of emerging companies and their investors, CSE has grown continuously and now lists more than 800equities and convertible securities.

In September 2007, the exchange launched the first continuous auction market to trade securities listed on other Canadian stock exchanges. The new facility introduced a high capacity, low latency trading environment combined with an attractive fee structure that enabled the Canadian trading community to use advanced trading technologies to their full advantage, while delivering cost savings enhancing the competitiveness of the Canadian markets.

We’re looking for an Analyst, Listed Company Compliance to join the team in Toronto or Vancouver.

Reporting to the Senior Vice President, Listings & Regulation in Toronto, the Analyst, Listed Company Compliance, is mainly responsible for supporting the Senior Analysts and assisting with monitoring and reviewing listed company disclosure for compliance with Exchange requirements.

Key Accountabilities:

•Develop process for maintenance and query of internal restricted list for employee trading.

•Support Listing Administrator in reviews of, and responses to investor complaints through analysis of news, trading data and other relevant information.

•Contribute to ongoing development of procedures for recording complaints, cases, and responses.

•Prepare formal requests and memos, where necessary, to issuers or regulatory bodies.

•Prepare departmental activity reports.

•Foster strong relationships with enforcement and corporate finance branches of securities commissions.

•Other responsibilities as assigned.

Must Have Skills:

•Demonstrated experience in the investigative review of issuer disclosure, trading activity and related securities law and exchange requirements.

•excellent analytical and communication skills

•ability to plan and organize work priorities

•must be able to work independently with minimal supervision

As Part of our team, you will receive:

• Opportunities for advancement
• Comprehensive benefits package (health, life insurance, dental, disability, vision care)
• Employee Assistance Program
• Financial support for fitness programs and job-related education
• Competitive compensation
• Vacation and leaves (e.g., personal days, sick leave)
• Group Retirement Savings Plan

The above description is intended to describe the general nature and level of work being performed by people assigned to this classification. The description is not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of CSE personnel.The employer reserves the right to change or assign other job duties at any time as necessary and as the business evolves.

Please note all offers of employment at the Canadian Securities Exchange are conditional upon the successful completion of a pre-hire background check. This may involve anything up to and including a criminal history check, reference checks and/or credit check.

Diversity, Equity, Inclusion and Belonging at the CSE

The Canadian Securities Exchange is dedicated to innovation in the capital markets and recognizes that having a workforce with diversity of thought, ideas, experience and perspectives is essential to building and maintaining such a culture of innovation. The CSE further understands that the commitment to building a diverse, equitable and inclusive workforce that reflects the diverse environments within which we operate is an important goal.In order meet that commitment the CSE incorporates diversity, equity, and inclusiveness criteria into its talent management process.

The CSEis an Equal Employment Opportunity (EEO) employer and welcomes all qualified applicants. Applicants will receive fair and impartial consideration without regard to race, sex, color, national origin, age, disability, veteran status, gender identity, sexual orientation, religion or other legally protected status, or any other classification protected federally or provincially.

The CSE is committed to fair and accessible employment practices and to providing accommodations for persons with disabilities. If you require accommodations to apply for this opportunity, require this posting in an additional format, or if contacted for an interview and require accommodation during any stage of the recruitment process, please contact us at[email protected].We will work with all applicants to determine appropriate accommodation for individual accessibility needs.

The CSE thanks all applicants for their interest in this opportunity, however; only those under consideration will be contacted.