Assistant Vice President, Listing Compliance

2 weeks ago


Singapore Singapore Exchange Full time

Entity:
Singapore Exchange- Location: Singapore, SG- Job Function: RegCo- Job Type: Permanent (HC)- Req ID: 1825
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 noncompliance of listing rules and confident in responding to queries and providing advice on simple to moderate listing matters.
  • 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 meetings and take minutes of such matters.
  • Contribute to team goals.
  • Contribute to initiatives for finetuning and enhancing the Listing Compliance framework to support product and market growth and development and to sustain market relevant regulations and to retain first mover advantage.
  • Contribute to initiatives for maintaining/improving appropriate and relevant systems, procedures and databases to ensure effective and efficient execution of Listing Compliance functions.
  • Build effective relationships with internal and external stakeholders from business units to issuers and market professionals including investment bankers, solicitors, auditors and other regulators.

Job requirements

  • A good degree in Law, Finance or Economics, with at least 4 years' experience in financial regulations.
  • Sharp, meticulous and accurate in reviewing and processing information.
  • Able to effectively convey and communicate decisions and information clearly and accurately (both verbal and written).
  • Team player with ability to work independently as required.

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