Requirements from Issuers Regulation, Regulation & Compliance Department
The role holder reports to the Head of Issuers Regulation, Regulation & Compliance Department. His/her principal responsibility is to (i) assist in legal matters relating to issuers R&C framework and (ii) support listing process and ongoing monitoring of the issuers’ obligations. The role holder needs to be prepared to support and influence the wider R&C change agenda.
The role holder key responsibilities are:
- Legal support to the Issuers Regulation activity
- Analyse AIFC legislation, including AIX Business Rules in terms of Issuers related matters.
- Legal analysis of the documents provided by the Issuers;
- Assisting in providing legal advise for any matter relating to Issuers.
- Support of Listing process:
- Review of the listing package, including offer document;
- Making KYC on Issuers, including Anti-Money Laundry clearance, and preparation of assessment report;
- Admission to listing of the Issuer’s securities.
- Ongoing obligations monitoring:
- Review and tracking disclosures of the Issuers;
- Ensure an Issuer’s compliance with Corporate Governance principles, listing eligibility criteria and disclosure framework;
- Providing explanations and clarifications of ongoing (including disclosure) obligations to Issuers.
- Developing R&C regulatory framework:
- Assisting in drafting procedures and guidelines;
- Assisting in creation and maintenance of registries in terms of miscellaneous data.
- Special skills required to perform the job
- Understanding of capital markets, securities issuance and listing processes;
- Understanding of Anti-Money Laundry laws and Sanctions issued by the United Nations Security Council or by the Republic of Kazakhstan;
- Understanding of Corporate Governance principles;
- Team working ability as many tasks involve more than one person in R&C team and also other AIX teams;
- Basic project management skills to conduct project follow-up;
- Competent in PowerPoint, MS Word and MS Excel;
- Good oral and written skills in English – should be able to distil topics into understandable summaries;
- Education, Certification, Licence Requirements
- At least 2+-years of relevant experience (legal background preferred);
- Bachelor’s degree in law or any other applicable degree. Master’s degree preferred or equivalent experience in the areas of expertise;
- Strong analytical and data gathering skills.