AVP/SA, Listing Compliance

Job Summary

Reporting to the Team Leader and Head, Listing Compliance, this position is responsible for managing a portfolio of listed issuers.

Responsibilities

·      Acquired ability to detect non-compliance of listing rules and confident in responding to queries and providing advice on simple to moderate listing matters.

·      Acquired initiative and able to exercise good judgement in processing and prioritising applications within the requisite KPI timelines.

·      Monitor compliance with listing rules and liaising with issuers on regulatory issues.

·      Investigate potential breaches of listing rules. Following up with enforcement and disciplinary actions where breaches have occurred.

·      Processing of simple, moderate and complex corporate actions within relevant timeframe.

·      Attend meetings concerning his/her portfolio and be able to address the main issues during the meet...