Associate Principal: Cf Regulatory

1 week ago

Johannesburg, South Africa Nedbank Full time

Job Family- Investment Banking
- Career Stream- Advisory

**Job Purpose**

To fulfil the role as Sponsor to Nedbank’s Debt Sponsor clients as regards their continuing obligations in terms of the Debt Listings Requirements.

**Responsibilities**:

- Fulfil the role of Debt Sponsor in terms of paragraph 2.8 of the Debt Listings Requirements, including but not limited to:

provide to the JSE any information or explanation known to it in such form and within such time limit as the JSE may reasonably require for the purpose of verifying compliance with the Debt Listing Requirements by it or by an applicant issuer/secondary registered issuer;
- ensure that all SENS announcements comply with the Debt Listings Requirements before submission to the JSE;
- use all reasonable endeavours to ensure that the applicant issuer/secondary registered issuer complies with the Debt Listings Requirements;
- manage the submission of all documentation to the JSE and ensure its compliance with the Debt Listings Requirements before submission is made;
discharge its responsibilities with due care and skill;
- prior to the submission of any documentation that requires approval by the JSE, satisfy itself to the best of its knowledge and belief, having made due and careful enquiry of the applicant issuer, that there are no material matters, other than those disclosed in writing to the JSE, that should be taken into account by the JSE in considering the submission;
- advise the JSE immediately if they are aware or have reason to suspect that any of their debt sponsor clients/the applicant issuer/secondary registered issuer have/has or may have breached the Debt Listings Requirements;
- be present at all discussions held between the JSE and the applicant issuer/secondary registered issuer. The JSE may, however, where it deems appropriate, communicate directly with an applicant issuer/secondary registered issuer or with an adviser of the applicant issuer/secondary registered issuer, in order to discuss matters of principle and/or the interpretation of provisions of the Debt Listings Requirements; and
- adhere to the Sponsor Code of Ethics and Standards of Professional Conduct as contained in the appendix to Schedule 16 of the JSE Listings Requirements.
- Ensure accuracy and validity of client information by interrogating assumptions and commerciality of information provided.
- Maintain competency through keeping up to date with changes to the Debt Listings Requirements.
- Ensure effective time management by managing turnaround times.
- Build strong Debt Sponsor client relationships through the delivery of good quality work outputs and strong verbal and written communication skills.
- Ensure provision of timeous resolutions for Debt Sponsor clients by addressing specific JSE-related queries.
- Share Debt Listings Requirements knowledge with Nedbank debt units at Nedbank.
- Seek opportunities to improve business processes and systems by identifying and recommending effective ways to operate and adding value to Nedbank.
- Ensure compliance with internal processes through developing an understanding of internal procedures.
- Ensure personal time management.
- Ensure that all admin related responsibilities are timeously addressed.
- Support the achievement of the business strategy, objectives and values by reviewing Nedbank and the Advisory Unit’s policies.
- Identify training courses and career progression for self through input and feedback from management.
- Ensure all personal development plan activities are completed within specified timeframe.- Essential Qualifications - NQF Level- Matric / Grade 12 / National Senior Certificate
- Professional Qualifications/Honour’s Degree
- Preferred Qualification- Chartered Accountant (SA), Chartered Financial Analyst, MBA, Masters in Finance, JSE Approved Executive.Attorney, CA(SA), CFA
- Essential Certifications- Chartered Accountant (SA), Chartered Financial Analyst, JSE Approved Executive, Institute of Chartered Secretaries and Administrators
- Minimum Experience Level- 6-8 years relevant industry / sector experience.- JSE Debt Sponsor and/or
- Corporate lawyer with direct exposure to the Debt Listings Requirements and Debt Capital Markets

**Technical / Professional Knowledge**
- Governance, Risk and Controls
- Industry trends
- Microsoft Office
- Principles of financial management
- Principles of project management
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Research methodology
- Decision-making process
- Cluster Specific Operational Knowledge
- Behavioural Competencies- Adaptability
- Coaching
- Communication
- Initiating Action
- Work Standards
- Managing Work
- Technical/Professional Knowledge and Skills

**Employment Equity Statement**
- Preference will be given to individuals from underrepresented groups.- **_Please contact the Nedbank Recruiting Team at +27 860 555 566_

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