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Job Info
Position : Senior Associate, Listing Compliance
Business / Support Unit : RegCo
Function : Listing Compliance
Reference No. : SGX/REG/280619
Job Description

Key Responsibilities

Reporting to the Team Leader and Head, Listing Compliance, this position is responsible for overseeing Sponsors and their registered professionals and managing a portfolio of Catalist issuers.

  • 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 of Sponsors; Prepare inspection report including recommendations for improvements and escalate material weaknesses in the sponsor’s internal process arising from inspection to Team Leader and Head, Listing Compliance or Disciplinary Committee, where applicable.
  • Conduct ad-hoc and risk-based review of Sponsors.
  • Review press articles and announcements and highlight non-compliances to Team Leader and Head, Listing Compliance.  Query issuers through Sponsors where clarifications are required.
  • Monitor Catalist issuers’ compliance with Catalist Rules.
  • Investigate potential breaches of listing rules.  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 Team Leader and Head, Listing Compliance.
  • Process corporate actions such as waiver applications and requests for additional listing of shares arising from corporate transactions.
  • Attend meetings concerning Sponsors and / or Catalist issuers in his / her portfolio and be able to address main issues during the meetings and take minutes of such matters.
  • Continuing liaison with Sponsors and Registered Professionals on interpretation of Catalist Rules.
  • Able to provide feedback on application of Catalist Rules, and other related regulations / guidelines / standards; and actively participate in amendments in relation to such rules, regulations, guidelines and standards.  This is to support SGX’s strategic directives and to ensure continued relevance of the rules to the marketplace.
  • Issuing Practice Notes and other publications to provide guidance on interpretation of Catalist Rules.
  • Conduct regular briefings with Sponsors on interpretation of rules including practical examples to facilitate understanding and interpretation of rules by Sponsors.
  • Contribute to initiatives for fine-tuning and enhancing the Listing Compliance framework to support market growth and development, sustain market relevant regulations and retain first mover advantage.
  • Contribute to initiatives for maintaining / improving appropriate and relevant systems, procedures and databases to ensure effective and efficient execution of Listing Compliance functions.
  • Build effective relationships with internal and external stakeholders including business units, issuers and market professionals (including investment bankers, issue managers, sponsors, registered professionals, solicitors, auditors) and MAS.
  • Contribute to team goals.


Position Deliverables 

  • Ensure consistent, transparent, balanced and effective regulation of issuers.  This will instill confidence in the market and issuers.  Build up the quality of market and relationships with stakeholders.
  • Ability to use existing procedures to solve problems.
  • Good knowledge of Catalist Rules.



Job Requirements
  • 2-3 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
  • Meticulous
  • Good understanding of listing rules and its applications and industry’s best practices will be an advantage
  • Preferably bilingual


Essential Attributes

  • Ability to think and write clearly and must possess high energy and urgency
  • Demonstrate initiative. Results oriented and decisive
  • Demonstrate ability to work in a team
  • Confident and possess good communication skills as candidate will be required to persuade and communicate with directors of listed issuers and other professionals