Head of Listing

6 days ago

Singapore LMA Full time

**Head of Listing & Regulatory**

**DUTIES/RESPONSIBILITIES**

Key Responsibilities include, but are not limited to the following list and may vary during your employment based on the needs of the business, as determined by the Chief Compliance Officer (CCO):

- **Listing and Regulatory**
- Together with the CCO, responsible for the overall listing and member supervisory framework of the firm. Able to draft, enhance, provide feedback and enhance listing and exchange rules to support product growth and development, and ensure good quality of regulation and sufficient oversight
- Work with other stakeholders to streamline the review and listing framework for different issuance products, taking into consideration the characteristics of each product type
- Monitor compliance with listing and exchange rules and query the issuers on matters including potential trading irregularities or inadequate disclosures
- Review and investigate non-compliance with listing and exchange rules by issuers and members, provide report and escalate to senior management and assist in disciplinary actions for breaches of rules
- Contribute to initiatives for maintaining/improving appropriate and relevant procedures and databases to ensure effective and efficient execution of the Listing and Regulatory function
- Build effective relationships with internal and external stakeholders from business units to issuers, members and market professionals

**Compliance and Other Initiatives**
- Provide second level support to the Compliance function and participate in compliance matters and ad hoc projects as may be assigned by the Chief Compliance Officer

**QUALIFICATIONS AND EXPERIENCE**

**Education**
- Degree in Finance, Business, Accounting, Law or Economics

**Experience and Skill**
- At least 10 years’ experience in the financial industry, with 5 to 8 years in regulatory functions of public exchanges
- Understanding of exchange trading and exchange regulations
- Knowledge of securities, derivatives and exchanged-traded products and keen interest in financial products and structuring; familiarity with digital assets will be advantageous

**Others**
- Able to work effectively as a team or independently, and identify and manage issues and risks

Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1325976

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