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Legal Analyst

 
 
 
 
 





TMX Group is at the heart of the Capital Markets industry in Canada. TMX Group owns and operates the Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange, Montreal Exchange, & Natural Gas Exchange (NGX) / AgriClear (tech start-up), in addition to the Canadian Depository for Securities & Canadian Derivatives Clearing Corporation. We also operate globally diverse lines of businesses in Issuer Support (TSX Trust), Data Delivery & Analytics (TMX Datalinx and TMX Insights), Low-Latency Infrastructure (TMX Atrium), and Fixed-Income/Energy Brokerages & TSX Private Markets (Shorcan). We have offices in Toronto, Montreal, Calgary, Vancouver, London, New York, Houston, Sydney & Beijing.

The Montréal Exchange Inc. (the “Exchange”) is recognized as a self-regulatory organization by the Autorité des marchés financiers. The Exchange’s Regulatory Division carries out regulatory duties for the Exchange’s markets. Headed by the Vice-President and Chief Regulatory Officer, the Regulatory Division comprises three units: the Market Analysis Unit (monitors trading activities and reviews market transactions to determine whether trading rules and principles are being respected and whether such transactions involve abusive or manipulative trading practices); the Examination Unit (examines derivative instrument trading desks of approved participants active on the Exchange’s markets, in order to verify the compliance of trading practices with the Exchange’s Rules and Policies); and the Investigations and Disciplinary Matters Unit (investigates potential regulatory violations and initiates disciplinary proceedings).

Reporting to the Director and Legal Counsel, Enforcement and Investigations, the Legal Analyst conducts legal research on various topics of interest to the Regulatory Division and, under the direction of the Senior Advisor, Regulatory Affairs, helps develop regulatory policy and prepare and review documents on regulatory amendments.

Key Accountabilities:

• Conduct research and draft legal opinions on all matters of interest to the Regulatory Division;
• Analyze and draft opinions on regulatory amendments, in particular to ensure that they comply with the applicable laws and regulations;
• Stay abreast of new legal developments, regulatory requirements and market standards and practices, in Canada and abroad, that are relevant to the operations of the Bourse de Montréal Inc.;
• Conduct case law searches, including as part of developing interpretation and disciplinary affairs bulletins;
• Participate in the preparation, drafting and review of documents, including enforcement pleadings, regulations, policies and processes;
• Contribute to public representation initiatives on regulatory reforms regarding derivative instruments;
• Collaborate on any of the Division’s projects and perform any other related task assigned by the Legal counsel’s immediate supervisor.

Must Have Skills:

• Bachelor of Law
• At least one (1) year of experience in the securities industry and, more specifically, in compliance and/or the trading of derivative products, or with a member of a regulatory or self-regulatory organization (SRO)
• Bilingual, French and English, spoken and written
• Superior analytical and research skills
• Excellent writing skills, in both French and English
• Ability to draft simple, clear, concise and logical texts
• Good legal reasoning and judgment
• Pragmatic
• Sense of organization and ability to manage priorities
• Rigorous
• Discrete
• Ability to work independently
• Good team spirit

Nice to have(s)

• Member of the Bar of Québec
• Canadian Securities Course
• Courses on derivative products
• Knowledge of the Google environment in the workplace

Skills:

  • Compliance Reporting
  • LL.B.





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