The 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. 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?
The Investigative Services (IS) department helps to maintain the integrity of the Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV) markets by researching and preparing due diligence background reviews used in making suitability decisions.
Senior Analyst, Investigative Services is responsible for processing the more difficult research requests, leading ongoing departmental training, acting as the main contact for issue resolution from both internal and external contacts, as well as technology providers. The senior analyst also evaluates source alternatives and identifies workflow impacts due to CAPFORM system/policy changes making recommendations for implementation within the department.
This role is hybrid (2 - 3 days/week in the office) - based in Toronto, ON.
Key Accountabilities:
- Prepare extensive research using databases, print sources and industry contacts.
- Analyze and summarize pertinent legal, regulatory and financial industry records.
- Prepare due diligence background reviews identifying potential concerns with companies and individuals.
- Liaise with regulatory and law enforcement contacts; exchange confidential information pertaining to investigative files.
- Maintain a high level of knowledge and expertise through reading appropriate literature.
- Assist in other departmental tasks including but not limited to processing criminal record checks and answering client inquiries
- Provide top-level customer service and communicate clearly and discreetly with clients / external applicants who are having difficulty completing online PIF, Canadian criminal record checks or having to undergo Fingerprinting/Local police checks.
- Work with Capital Formation to adapt existing process-flows to integrate new technologies or requirements being introduced. Identify potential issues and create new workflows to optimize processes.
- Participate in and lead project teams to determine feasibility, scope and requirements for process improvements identified by the Investigative Services department.
- Take a leadership role in coordinating, training and approving administrative tasks.
- Help to ensure staff produce consistently high quality reports as measured by timelines, thoroughness and accuracy.
- Assist IS Manager in gathering team statistics and preparing performance reports. Monitor turnaround times for Capital Formation to ensure that regulatory reporting requirements are being met.
- Solve moderately complex problems for LIS / C&D Staff involving external research requests, IS priority queue, PIF requirements etc. Identify opportunities to improve departmental operations and efficiencies for serviced areas
- Maintain workflow database and help to coordinate research requests received from Capital Formation, TMX Trust, HR etc.
- Monitor the use of departmental sources. Look for alternatives and make recommendations for improvements where necessary for pricing and business continuity.
- Liaise with content providers/vendors to keep abreast of changes to service, new offerings and features.
Must Have Skills:
- University Degree with preferred focus on Business/Commerce, Finance, Political Science, Information Studies or Economics
- 3-5 years of business experience working in due diligence research in the financial industry
- Knowledge of Canadian capital markets and the TMX listing process for companies and officers & directors
- Experience in creating new procedures, administering procedures and improving existing procedures
- Strong research skills: Experience using commercial online databases (such as LexisNexis) and internet search engines and AI tools
- Experience in optimizing and improving business processes
- Strong attention to detail
- Strong analytical skills: ability to understand and piece together complex information gathered from many sources, and to summarize clearly and concisely.
- Experience in rolling out new products and procedures (conducting training and creating documentation)
- Strong teamwork and communication skills
Nice to Have:
- Canadian Securities Course will be considered an asset
Salary Range: $30/h - $35/h 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.
The recruiting efforts for this role are intended to fill a vacant position.
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.
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.
