Equities: Regulatory Specialist

Role Title: Senior Regulatory Specialist (Issuer Compliance)

Client Summary: Our client is a leading financial marketplace and exchange, playing a pivotal role in the South African economy. They are dedicated to fostering a fair, efficient, and transparent market environment, driving innovation, and supporting the growth of listed companies. This is an opportunity to join an organization committed to upholding the highest standards of regulation and market integrity.

Job Description: Join our client's dynamic Issuer Regulation division as a Senior Regulatory Specialist, a critical role focused on ensuring the integrity and compliance of listed companies. This is a middle management position where you will operate with a high degree of independence, leveraging your expertise to interpret and apply complex regulatory requirements. You'll be instrumental in safeguarding market reputation and driving regulatory best practices. While you won't have direct reports, you'll play a vital role in mentoring and developing junior team members, contributing to a culture of continuous learning and excellence. This role offers a unique opportunity to shape regulatory frameworks, engage with key market participants, and contribute to the future of financial markets, including emerging areas like crypto and ESG.

Responsibilities:

• Regulatory Oversight & Compliance:
  • Conduct thorough reviews of regulatory documentation submitted by listed companies and other regulated parties, including circulars, announcements, corporate actions, and auditor applications, ensuring adherence to the JSE Listings Requirements.
  • Provide expert advice and interpretation on the JSE Listings Requirements to internal teams, listed companies, sponsors, and designated advisors, resolving complex queries and facilitating rulings.
  • Contribute to the development and amendment of regulatory requirements through research and consultation.
  • Proactively identify potential breaches and risks, implementing strategies to mitigate them and maintain market integrity.
• Stakeholder Engagement & Relationship Management:
  • Build and maintain strong, professional relationships with key external stakeholders, including sponsors, listed companies, independent advisors (legal, audit, valuation), and other regulatory bodies.
  • Effectively manage stakeholder expectations through clear, concise, and professional communication, addressing issues promptly and fostering collaborative partnerships.
  • Represent our client externally with confidence and credibility, engaging with sophisticated market participants.
• Team Development & Process Improvement:
  • Provide informal training, coaching, and mentorship to junior team members on regulatory interpretation and application.
  • Contribute to departmental business planning and strategy, identifying opportunities for process improvements and innovative solutions.
  • Assist in managing workflow, delegating tasks, and developing internal systems to enhance divisional efficiency.
• Personal & Professional Growth:
  • Continuously enhance personal capability and professional growth by actively seeking learning opportunities and staying abreast of industry changes, legislation, and emerging trends (e.g., crypto, ESG).
  • Apply cost-effectiveness principles and identify innovative ideas to contribute to divisional objectives.

Requirements:

Must-Haves:

• Degree in Accounting, Commerce, or Law.
• Minimum of 5 years' experience in advising on JSE Listings Requirements, Corporate Finance, or Corporate Law.
• Strong understanding of the JSE Listings Requirements, Companies Act, Financial Markets Act, and Corporate Actions.
• Solid grounding in corporate governance and general regulatory frameworks.
• Strong financial acumen, with the ability to interpret financial statements and understand commercial operations.
• Excellent analytical and critical thinking skills, with the ability to simplify complex issues.
• Exceptional written and verbal communication skills, with the ability to convey complex information clearly.
• Proven ability to establish and maintain collaborative relationships with internal and external stakeholders.
• Demonstrated time management skills and the ability to complete tasks under pressure.
• Comfortable with independent decision-making and problem-solving.

Nice-to-Haves:

• Postgraduate qualification.
• Experience in a regulatory environment or advisory role (corporate finance/legal).
• Experience in training and developing team members.
• Familiarity with crypto-related market developments and sustainability/ESG disclosures.
• Knowledge of accounting and legal terminology.
• Experience with JSE systems and data analysis.

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Updated JD Template March 2023