Issuers Regulation Associate\Analyst

Компания "Astana International Exchange"

Role, Responsibilities and Accountabilities

The role holder reports to the Head of Issuers Regulation, Regulation & Compliance Department. His/her principal responsibility is to (i) make analysis of a potential issuer in terms of eligibility criteria and listing requirements set out in AIX Business Rules and AIFC rules and regulations, followed by its admission to the AIX Official List, and (ii) monitor and ensure issuers’ compliance with ongoing obligations. The role holder needs to be prepared to support and influence the wider R&C change agenda.

The role holder key responsibilities are:

• 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;
• 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 4+-years of legal experience;
• Bachelor’s degree in law, Master’s degree preferred or equivalent experience in the areas of expertise;
• Strong analytical and data gathering skills

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