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.

KEY ACCOUNTABILITIES:

• Plans examinations by conducting preliminary assessment of the Approved Participants based on previous examinations, input from other departments, and priorities of the Division in order to determine the scope and principal areas of focus of the examination;
• Prepares examinations by understanding the Approved Participant’s organizational and business structure, policies and procedures, and compliance culture;
• Assesses the Approved Participant’s compliance with the rules of the Bourse by executing the examinations program, using the pre-established tests;
• Assesses Approved Participant’s written policies and procedures to ensure that they are properly documented and adhered to by the Approved Participant’s employees;
• Completes examination work by documenting the tests conducted and the resulting findings;
• Communicates examination progress and findings by providing status updates during meetings with the Director, highlighting unresolved issues and reviewing executed work;
• Drafts reports describing observations made during the examination and issues recommendations for correcting the deficiencies raised within the prescribed timelines;
• Ensures that examination files include all relevant material used during the examination;
• Coordinates with Senior Examiners and Examiners to ensure the distribution and completion of tasks common to the service;
• Collaborates with Examinations colleagues to perform the annual Participant Risk Assessment;
• Updates and maintains professional knowledge by keeping informed of compliance and regulatory changes, by participating in seminars and training sessions provided internally and externally;
• Collaborates on any project related to examinations;
• Keeps the updated record of all examination files, taking into account applicable performance benchmarks;
• Follows the procedures and processes applicable to examinations and takes part in their potential improvement;
• As required, participates in regulatory amendment proposals initiated by the Division, mainly by carrying out analyses;
• Maintains confidentiality of information at all times;
• Carries out any other related task assigned by the immediate supervisor.

Please refer the Job description for details