Equities Regulation Specialist

SUMMARY:
Our client, a leading Financial Institution, is looking for a Equities Regulation Specialist to join their team.

POSITION INFO:
Minimum Qualification

• Degree in Accounting, Commerce or Law
• Postgraduate qualification preferred

• 5 years’ experience in advising on the Listings Requirements or Corporate Finance or Corporate Law
• Experience in training team members

• Basic software applications (e.g., Outlook, Word, Excel, Access, Internet, Email)
• Data analysis
• Decision-making process
• Industry trends
• Divisional service offerings
• Relevant product knowledge
• Relevant regulatory knowledge (Listings Requirements, Companies Act, Financial Markets Act, Corporate Actions)
• Basic knowledge of accounting and legal terminology
• Research methodology
• Employee training/development
• Operational risk management and planning
• Client service and stakeholder management
• Business continuity standards
• Business principles and change management
• Knowledge on cyber security and agile methodology
• Understanding of the Protection of Personal Information Act
• Resource allocation principles

• Regulate the South African listed environment through review of documents and submissions by regulated parties (circulars/fairness opinions, other corporate action document submission or auditor applications and renewals), utilisation of systems, internal data, and market data within the required SLA’s, to either ascertain compliance with the LR, or possible future breach of the LR whilst ensuring consistency with respect to application of LR.
• Provide specialist inputs by advising on the Listings Requirements (advice to sponsors, designated advisors, listed companies, journalists and internally, either verbally or in written format) as it relates to the circulars, announcements, rulings, queries on interpretation of LR, continuing obligations, etc. This specialist input includes consideration of and presentation of rulings regarding requests for interpretation, or dispensation from the LR to the team at technical meetings and conclusion.
• Either draft or contribute to projects dealing with the amendment of the LR listings requirements on an adhoc basis, following research and consultation with relevant parties.
• Apply cost effectiveness principles in planning and delivery to contribute to achievement of divisional financial targets.
• Identify and implement improvements and/or innovative ideas that add value to the divisional objectives

• Contribute to crafting of departmental business plan and provide input into the strategy of the division.
• Coaching, support and training provided internally to junior staff members on the interpretation and application of the LR or resolving of issues with companies and their advisors.
• Assist with creation and implementation of staff plans, management of workflow, delegation of authority and tasks and development of internal systems.
• Timeous response to queries and management of stakeholder expectations by understanding client needs through meaningful communication with sponsors in a professional manner, effectively addressing any issues that arise, resulting in the building of networks and relationships with all clients.
• Maintain consistency in interaction with all clients and manage resolution of client queries efficiently.
• Ensure that SLA is always met and proactively assess where SLA may not be met (including appropriate management of such scenario with client/ stakeholder).
• Epitomise living the values and display professional conduct.