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Review applications to be authorised as Sponsors and Registered Professionals for compliance with Catalist Rules.
Monitor Sponsors' & Registered Professionals' continuing compliance with Catalist Rules.
Conduct ad-hoc or risk-based inspection and review of Sponsors; Prepare inspection report including recommendations for improvements and escalate any material weaknesses.
Continuing liaison and conduct regular briefings with Sponsors and Registered Professionals on interpretation of Catalist Rules.
Review press articles and announcements and highlight non-compliances to management.
Monitor Catalist issuers' compliance with Catalist Rules.
Investigate potential breaches of listing rules and follow-up on enforcement and disciplinary actions where breaches have occurred.
Perform limited review of corporate actions for compliance with the continuing listing rules and escalate any material findings or non-compliances to management.
Process corporate actions such as waiver applications and requests for additional listing of shares arising from corporate transactions.
Issuing Practice Notes and other publications to provide guidance on interpretation of Catalist Rules.
Able to provide feedback on application of Catalist Rules, and other related regulations / guidelines / standards.
Attend meetings concerning Sponsors and / or Catalist issuers in his / her portfolio.
Contribute to initiatives for fine-tuning and enhancing the Listing Compliance framework
Contribute to initiatives for maintaining / improving appropriate and relevant systems, procedures and databases
Build effective relationships with internal and external stakeholders, market professionals and MAS.
5-8 years of working experience with Bachelor degree in Business/Accountancy/Business Administration/ Economics/Law. Candidates should preferably be able to understand financial statements.
Analytical, written and verbal communication skills are important
Energetic Team player with ability to work independently as required.
Executive level experience working within the financial industry, especially in corporate finance, auditing, investment and research of listed companies, is highly preferred
Good understanding of listing rules and its applications and industry's best practices will be an advantage
For interested parties, please send resume to firstname.lastname@example.org We regret that only shortlisted candidates will be notified Capita Pte Ltd | EA Licence No 08C2893 | RCB No. 200701282M Grace Chuah Chia Wen | EA Registration No : R1876066