Responsibilities:

• Review prospectuses and other information for potential issuers of securities to assess compliance with legal and regulatory framework and the level of disclosure of information to investors.
• Review applications for collective investment schemes, Real Estate Investment Schemes, Credit Rating Agencies, ESOPs, spot commodities and derivatives contracts, and other products to determine compliance with the Capital markets Legal and Regulatory Requirements.
• Review legal and other information submitted in support of applications for approval of various corporate actions by issuers of securities, such as approval of bonus, rights issues, share splits, to ensure compliance with Capital Markets Legal and Regulatory Framework.
• Review offer documents submitted in support of applications for approval of corporate restructuring transactions, such as Mergers & Acquisitions and private transfers.
• Review notices, announcements, advertisements and other required publications by issuers of securities, Investment funds and other products and make recommendations of their suitability for publication.
• Proactively engage applicants, potential candidates for approval and other stakeholders with a view of facilitating the licensing process within the Regulatory Framework and applicable standards.
• Undertake research on best practices relating to approval of issuers, CISs, ESOPs and other products to facilitate review of applications.
• Liaise with officers from Licensing and Financial Analysis and reporting divisions, to update the status of all outstanding licensing and approvals applications received by the Department.

Requirements

Minimum Qualifications and Experience:

• Bachelor’s Degree in Law, Finance or Business -related.
• Minimum of one year of relevant experience would be an added advantage.

Key skills, Knowledge & Competencies:

• Display honesty, transparency, and integrity in all dealings.
• Show initiative and meet all deadlines with high-quality work.
• Demonstrate good communication skills and teamwork.
• Always dedicated to confidentiality.