AVP - Listing Regulation and Enforcement
Core
Lead a sub-team to monitor 80-120 listed issuers for Listing Rules compliance, handle waiver applications, and resolve complex market issues.
Role type
Senior management-level listing regulation and enforcement specialist
Builds
Compliance monitoring frameworks and regulatory guidance for listed issuers
Domain
Capital markets / Securities regulation
Deliverable
client delivery
Required skills
Listing Rules expertise, securities law knowledge, accounting practices, project management, data analytics, investigative techniques, team leadership, training and development
Preferred skills
Experience in corporate finance or investment banking
Technologies
Data analytics tools, IT systems for compliance monitoring
Responsibilities
Administer and interpret Listing Rules for a portfolio of issuers, proactively monitor continuing listing obligations, lead operational improvement initiatives, train and mentor junior team members, provide professional support on complex accounting and legal issues