Grade: Assistant Manager – Manager Department: Listing Regulation Department Division: Legal and Regulation Division Job Summary
The Listings Regulations Department falls within the Legal and Regulation Division.
The Exchange needs an industry professional with a strong personality, good people management skills and the ability to work as a team player to support the Division.
The individual will be required to have a thorough understanding of Exchange’s policies, overall mission and strategy, as well as a strong finance/legal background experience preferably with experience from a listed company.
We are seeking an exceptional individual to work in close partnership with the Head, Listings Regulations Department.
Key Responsibilities
Understand and interpret Capital Market Rules, Codes and Regulations
Propose regulatory programs
Research required information
Carry out comprehensive pre-listing analysis of applications received
Review Financial Statements with a view to enabling informed investment decisions
Review and analyze Listings Application documents to ensure adequate disclosure of information and adherence to Listing Requirements
Identify lapses in applications and liaise expeditiously with professional parties
Convey approval of Quotations Committee to Stockbroker(s) to Issue
Attend and monitor the proceedings of Completion Board Meetings
Post approval interface with Issuers to ensure listing process is initiated within three months of approval of application
Review and grant approval to Issuers submissions via portal
Provide learning support to users of X-Issuer/proposed Electronic Filing
Support holding of half yearly review of Primary Market Rules and identify gaps
Provide support services to other Units/Departments on enterprise goals
Carry out any other assignments as may be required from time to time
Collaborate with other regulatory agencies to ensure strong regulatory environment
Manage relationships within The Exchange
Generate weekly reports
Participate in relevant regulatory projects
Attend meetings and represent the Head of Department at relevant fora
Qualification and Experience
University degree in Finance, Economics, Accounting, Banking and Finance, Law or related fields
Ability to work on own initiative
Must be able to build strong partnership and relate with business and enterprise staff to a wide variety of audience
MBA or professional qualifications in finance are an added advantage
Minimum of 5 to 6 years work experience in a financial sector
Adequate knowledge of IFRS, securities legislations and corporate governance principles and codes and tax laws
Proven ability to accurately analyze financial ratios
Ability to work on own initiative
Must be able to build strong partnership and relate with staff on an enterprise basis
Competencies Functional:
Capital Mkt Knowledge
Analytical Thinking
Business Analysis
Financial Analysis
Behavorial:
Time Management
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