Job Description

Listing Analyst/Manager - Canadian Securities Exchange (CNSX Markets Inc.)

For 2020, the Canadian Securities Exchange (CSE) reported record of financing activity and capital raised by listed companies and near record trading levels. Listings Increased by 11% from 2019 to 629 listed securities. The first quarter of 2021 has seen record levels of listing applications, and CSE is expanding to maintain its level of service.

We’re looking for Listings Analysts to join the team in Toronto or Vancouver. Experience with issuer regulation is preferred.

Reporting to the Director, Listings & Regulation in Toronto, the Analyst is responsible for the independent review and analysis of listing applications and certain listed company transactions.

Key Responsibilities

• Review listing applications and/or proposed transactions by listed companies, approve or communicate recommendations internally and externally, to listed companies and/or their advisors.
• Prepare written analysis and recommendation for the listing application
• Consider issues and waiver requests and provide analysis and recommendations.
• Review applications and transactions for compliance with initial and continued listing requirements.
• Communicate with and assist compliance staff on relevant issues.
• Provide guidance to the public, listed companies and their advisors.
• Participate in policy & procedure development, educational seminars/presentations for issuers and market participants.

Must Have Skills

• A business degree or Business Diploma with a major in Finance or Accounting or relevant experience with issuer regulation in the securities industry.
• 1 to 2 years of related business experience (securities industry is preferred).
• Excellent analytical and communication skills.
• The ability to work independently within time constraints is essential.

Additional considerations

• A post graduate degree or professional designation.
• Completion of the Canadian Securities Course and other industry related courses.
• Understanding of the public venture capital market and reporting requirements.
• Familiarity with CSE listing policies.
• Familiarity with trading rules, including clearing and settlement procedures.
• Bilingual skills in English and French (written and spoken).

Job Type: Full-time

COVID-19 considerations:

Full COVID-19 Protocol in place. Listings & Regulation Staff will work remotely until further notice.

Please submit your application to Careers@thecse.com.

The CSE thanks all applicants for their interest, however only those selected for interview will be contacted.

Job Description

Law Clerk

CNSX Markets Inc., owner and operator of the Canadian Securities Exchange (“CSE”) is an exchange recognized by the British Columbia Securities Commission and the Ontario Securities Commission. We are experiencing record growth and are expanding our legal department.

Currently we are looking for a Law Clerk to join the team.

The Law Clerk will report to the General Counsel & Corporate Secretary. The Law Clerk will work closely with colleagues in the Office of the General Counsel and with other partners across the CSE.

Job Type: Full‐time

Key Responsibilities

• preparing and tracking the CSE’s governmental filings (including those under corporate and securities laws) and corporate records – including annual returns, business name and extra‐provincial registrations;
• undertaking routine minute book documentation;
• assisting in the preparation and delivery of corporate contracts and other legal documents;
• researching corporate governance matters;
• assisting in the coordination of Board and committee meetings;
• assisting in contract administration and document management;
• tracking the Exchange’s intellectual property portfolio including registered trademarks;
• corporate reviews and other related due diligence in connection with transactions;
• monitoring rule changes at marketplaces, SROs, and other similar market participants;
• contributing to the ongoing development of precedents

Skills

• Experience assisting with preparation and management of agreements and corporate and regulatory filings
• Experience in drafting correspondence, excellent written skills
• Ability to manage multiple projects concurrently
• Close attention to detail, highly organized, able to work with minimal supervision, independently as well as part of a team
• Law clerk with relevant credentials

Note full COVID-19 Protocols are currently in place. Office of the General Counsel Staff will work remotely until further notice.

Please submit your application to Jamie.Anderson@thecse.com.

The CSE thanks all applicants for their interest, however only those selected for interview will be contacted.

Job Description

Business Development, Trading

The Canadian Securities Exchange (“CSE”) is the Exchange for Entrepreneurs. Since 2004, we have welcomed innovators to the Canadian public capital markets, providing exceptional service and a modern alternative for businesses looking to grow. The CSE is a leading Canadian stock exchange recognized by the British Columbia Securities Commission and the Ontario Securities Commission.

We are proud to partner with entrepreneurs across a variety of industries, providing opportunities to connect with investors, and ultimately helping to build a stronger economic future.

With the recent record growth in listed companies and trading volumes on the CSE, we are looking for driven and motivated individuals to join us in our mission.

The Trading Development team at the CSE is responsible for leading growth in CSE’s marketplace business, delivering a best-in-class experience to our client base.

Job Type: Full‐time

About the Role

• Cover sell- and buy-side accounts and other stakeholders with the goal of increasing the order flow directed to the CSE.
• The position will be responsible for developing and maintaining solid, long-term professional relationships with existing and prospective dealers and other stakeholders in the Canadian market and serving as their CSE representative.
• Opportunities to identify and participate in the development of new services and products. 
• Gain a keen insight into each client’s business plans and objectives, with the goal of having our clients view us as a partner in their business.

Key Responsibilities

• Establish and maintain relationships with CSE dealers and other stakeholders to demonstrate the advantages of CSE’s trading products and services.
• Assist in developing sales plans targeted to clients, and then successfully engage in consultative sales with dealers and other stakeholders to ensure delivery of the sales objectives.
• Ensure high levels of understanding and commitment to the CSE's product offerings and value amongst clients.
• Conduct regular communications with clients about planned CSE product changes and obtaining regular feedback to identify client requirements.
• Provide strategic input and support for the development of new products and services.
• Track and analyze trading statistics and metrics to determine trends and leverage information to drive business impact.  Deeply understand our customers and be informed about the competitive landscape.
• Track sales/pipeline and account management efforts (calls, meetings, trade show participation).
• Collaborate across other teams and disciplines (i.e. Operations, Technology, Compliance)
• Represent the CSE in professional industry group meetings, seminars, and trade shows to further relationships with senior executives and to provide visibility for CSE services.

Preferred Qualifications

• 3+ years relevant business experience in the securities/financial industry and sales/account management
• Bachelor’s degree in Commerce/Economics/Finance
• Excellent sales, relationship management and presentation skills
• Exceptional written and verbal communication skills; can convey complex and technical ideas succinctly and clearly
• Solid understanding of the securities industry and public markets
• An entrepreneurial mindset, ability to manage and plan at both the strategic and operational level
• Strong analytical and problem-solving skills with superior attention to detail
• Ability to travel

Note full COVID-19 Protocols are currently in place. The Trading Development staff will work remotely until further notice.

Please submit your application to Careers@thecse.com.

The CSE thanks all applicants for their interest, however only those selected for interview will be contacted.

Position: Manager, Financial Disclosure & Compliance

Reporting to: Vice President, Listings & Regulation

In this position you will perform the lead role in the review of financial statements and financial disclosure for compliance with disclosure requirements of public companies.

Key Accountabilities:

• Review and analyze financial statements and financial disclosure for listing applicants and listed companies for compliance with reporting requirements and CSE listing criteria, for which the financial reporting requirements are closely related to prospectus requirements
• Summarize pertinent findings for internal and applicant use
• Participate in ongoing development of policy & procedure development, educational seminars/presentations for issuers and market participants procedures 
• Liaise with regulatory and industry contacts
• Prepare written analysis and recommendation for listing applications
• Consider issues and waiver requests and provide analysis and recommendations
• Communicate with and assist compliance staff on relevant issues
• Provide guidance to the public, listed companies and their advisors

Skills:

• Canadian CA/CPA, CMA/CPA, CGA/CPA designation (or International equivalent) is required.

• excellent analytical and communication skills 

• ability to plan and organize work priorities

• must be able to work independently with minimal supervision

Job Type: Full-time

COVID-19 considerations: Full COVID-19 Protocol in place. Listings & Regulation Staff will work remotely until further notice.

Please submit your application to Careers@thecse.com.

The CSE thanks all applicants for their interest, however only those selected for interview will be contacted.