Job Description

• Monitor portfolio companies for compliance of listing rules and relevant regulatory issues.
• Provide advice on listing matters when needed and respond to related queries from the companies.
• Investigate potential breaches of listing rules. Advising on enforcement and disciplinary actions related to breaches.
• Processing of simple, moderate and complex corporate actions.
• Review application documents within KPI timelines.
• Attend roundtable team meetings to discuss portfolio related matters, addressing and discussing any issues or questions as needed.
• Able to provide feedback and participation on listing rules, company regulations/guidelines/accounting standards amendments and application.
• Contribute to initiatives for fine-tuning and enhancing the Compliance framework.
• Contribute to initiatives for maintaining/improving appropriate and relevant systems, procedures and databases to ensure effective and efficient execution of Compliance functions.
• Build effective relationships with companies, facing off to senior management and professionals supporting the companies including investment bankers, solicitors and auditors.
• Ensure consistent, transparent, balanced and effective advice on regulation to listed companies.

• Bachelor’s degree
• 3 – 7 years of relevant experience with an audit, finance or legal background preferred.
• Further qualifications such as CPA, CFA or legal qualifications an advantage.
• Knowledge of listing rules, preferably from an audit or advisory perspective.
• Skills should cover both quantitative and qualitative analytical experience as role will involve reviewing company financial statements as well as written documentation and forms.
• Ability to exercise initiative, judgement and discretion under medium supervision once trained.
• Meticulous and accurate in reviewing and processing information.
• Effective and confident communication, both verbal and written.
• Will suit a positive team player with a desire to learn and contribute.