Proxy Specialist - Proxy Teams

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 Proxy Specialist contributes to the day-to-day operations of print and proxy services concerning the administrative work to initiate and tabulate shareholder meetings and mailings sent to the client’s shareholders. This role is focused on maintaining the integrity and quality of the proxy team’s digitized records and managing exceptions within the document scanning workflow. They will ensure that all scanned documents meet established quality control standards and that any deviations or exceptions are thoroughly investigated, documented, and approved according to compliance and archival policies.They also support the Client Management team with planning, client requests, timelines, and other needs as required. This role involves internal interactions with co-workers, relationship managers, and finance, and external interactions with brokers, vendors, shareholders, and issuer clients or agents. This role requires a specialized knowledge of STAC protocol, voting and tabulation guidelines, and Excel reporting.

This role is hybrid : 3 days/week in the office - based in Toronto, ON.

Key Accountabilities:

The Proxy Specialist  is required to perform a range of duties, including, but not limited to:

Document Scan Quality Management:

• Oversee the intake and processing of high-volume document scanning results from internal operations

• Perform detailed quality assurance (QA) checks on scanned images to ensure legibility, correct indexing, proper file format, and adherence to established naming conventions and metadata standards.

• Identify and track all scanning errors, including missing pages, illegible text, incorrect orientation, and mismatched data indexing.

• Coordinate with scanning operators and supervisors to ensure timely reprocessing and correction of rejected batches.

Exception Validation and Documentation:

• Serve as the primary reviewer and validator for all exception requests related to document scanning standards (e.g., documents that cannot be scanned due to physical condition, files that must be kept in an alternate format, or deviations from standard metadata tagging).

• Rigorously evaluate the justification for each exception, ensuring it meets configuration requirements and identify if config/confidence rate changes are needed.

• Challenge inadequate justifications and recommend alternative processing methods or archival solutions to maintain regulatory/client contract compliance.

• Comply with Standard Operating Procedures (SOPs) for the document scanning, QA, and exception handling processes.

• Collaborate with records management, legal, and compliance teams to ensure the document management system and associated procedures meet all regulatory and legal obligations.

• Analyze QA and exception data to identify systemic scanning issues, recommending equipment, software, or training improvements to reduce errors and increase efficiency.

• Validation and tabulation of proxies according to the Security Transfer Association of Canada (STAC) Proxy Protocol Guidelines, to ensure that the votes cast for the motions to be put to a vote at Issuers’ shareholder meetings are properly and accurately accounted for.

Reporting and File Handling: 

• Download and process electronic files and reports

• Prepare spreadsheets for various forms of reporting

• Coordination with internal and external stakeholders

• Flexibility with working overtime when required (with a focus on January to June)

• The TMX Group office is a hybrid first environment with a requirement of 50% attendance in the office 

• Assist with the training of summer contract staff

• Other duties may be assigned as necessary

In addition, the Proxy Specialist will assist with:

• Initiating the specialized meeting setup and external and internal notices to comply with regulatory requirements under National Instruments 54-101, 51-102, and the relevant Corporate Acts.

• Initiating, coordinating, monitoring, printing, and mailing services for proxy and non-proxy materials, between relationship managers, issuers, and vendors in accordance with regulatory requirements under National Instruments 54-101, 51-102, and the relevant Corporate Acts.  Requests may be standard business as usual or special requests.

• Working with confidential shareholder information and managing confidential voting.

• Completing affidavits of mailing for submission to clients 

• Completing post-meeting packages of material for client distribution.

• Completing billing files for submission to finance.

• Update and maintain all internal databases while ensuring a high level of detail and accuracy

Must Have(s):

• Minimum two years of experience in transfer agency services or securities industry

• One year of experience with database management

• Proficient in using standard office software (e.g., Google Suite) for data tracking and reporting.

• Demonstrated proficiency with high-volume document imaging software and equipment (e.g., Kofax, Captiva (OCR/ICR software suites).

• Strong understanding of metadata, indexing, and document retrieval principles.

• Experience working within an electronic document management system (EDMS) or content management system (CMS) like SharePoint, OnBase or similar.

Soft Skills:

• Exceptional attention to detail and a commitment to data accuracy and integrity.

• Strong analytical and problem-solving abilities to trace scanning errors and validate complex exceptions.

• Excellent organizational and communication skills, both written and verbal, for creating clear documentation and interacting with internal stakeholders.

• Teamwork: Work cooperatively and effectively with others to set goals, resolve problems, and make decisions to enhance organizational effectiveness; ability to undertake self-directed tasks when necessary

• Independence: Ability to work independently, ensuring outstanding matters are addressed promptly

• Assessment: Anticipate, understand, and respond to the needs of peers, clients, and securityholders to meet or exceed their expectations

• Willingness and ability to adapt to changes and responsibilities

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Nice to Have:

• Proxy/Transfer Agent experience and familiarity with NI 54-101 and NI 51-102 regulations and other legal requirements relating to disclosure for shareholder meetings

• Knowledge of regulatory requirements pertaining to document retention and handling is a significant asset.

Salary Range: 54,000/year - 57,000/year 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.

For this role AI-assisted tools are utilised as one input in the application and screening process. AI does not make final hiring or interview decisions.

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.