LISTED COMPANIES DISCIPLINARY ENFORCEMENT OFFICER

ARE YOU SOMEONE WHO ENJOYS UPHOLDING REGULATORY DISCIPLINE, ANALYZING COMPLIANCE BEHAVIOR, AND APPLYING RULES FAIRLY TO SUPPORT A TRANSPARENT AND WELL-GOVERNED CAPITAL MARKET?

WE ARE LOOKING FOR A LISTED COMPANIES DISCIPLINARY ENFORCEMENT OFFICER TO SUPPORT THE MONITORING, ANALYSIS, AND ENFORCEMENT OF EXCHANGE REGULATIONS, WITH A FOCUS ON LISTING AND SANCTIONS REGULATIONS FOR LISTED COMPANIES.

IN THIS ROLE, YOU WILL HELP ENSURE LISTED COMPANIES’ COMPLIANCE IS CONSISTENTLY MONITORED, DISCIPLINARY ACTIONS AND SANCTIONS ARE WELL-GROUNDED AND PROPORTIONATE, REPORTING AND SANCTIONS DATABASES ARE ACCURATELY MANAGED, AND AWARENESS OF REGULATORY OBLIGATIONS IS STRENGTHENED THROUGH EFFECTIVE COORDINATION AND OUTREACH.

KEY RESPONSIBILITIES:


PERFORM COMPREHENSIVE DATA PROCESSING AND ANALYSIS TO SUPPORT SANCTION DETERMINATION AND THE DEVELOPMENT OF POLICIES RELATED TO LISTED COMPANIES’ COMPLIANCE.
MONITOR AND ANALYZE THE FULFILMENT OF REGULATORY AND REPORTING OBLIGATIONS OF LISTED COMPANIES AND PREPARE SANCTION PROPOSAL REPORTS BASED ON IDENTIFIED NON-COMPLIANCE.
DEVELOP AND MAINTAIN GUIDELINES AND PROCEDURES FOR THE IMPOSITION OF SANCTIONS ON LISTED COMPANIES AND PROVIDE INPUT FOR THE ENHANCEMENT OF LISTING REGULATIONS; UNDERSTANDING OF EXCHANGE LISTING REGULATIONS IS ESSENTIAL AND WILL BE DEVELOPED THROUGH ON-THE-JOB LEARNING.
MANAGE AND PROCESS LISTED COMPANIES’ REPORTING OBLIGATION DATABASES AND TRANSFORM COMPLIANCE DATA INTO MONITORING DASHBOARDS TO SUPPORT SUPERVISORY AND ENFORCEMENT ACTIVITIES.
CONDUCT COACHING AND SOCIALIZATION PROGRAMS FOR LISTED COMPANIES TO ENHANCE UNDERSTANDING AND AWARENESS OF EXCHANGE LISTING REGULATIONS.
ANALYZE THE LEVEL OF COMPLIANCE OF LISTED COMPANIES, DEVELOP A COMPLIANCE INDEX, AND PROPOSE FOLLOW-UP ACTIONS AIMED AT IMPROVING OVERALL COMPLIANCE LEVELS.
COORDINATE WITH RELEVANT INTERNAL DIVISIONS IN THE IMPLEMENTATION AND EXECUTION OF SANCTIONS FOR LISTED COMPANIES.
COLLABORATE WITH THE LISTING SYSTEM MANAGEMENT UNIT TO DEVELOP AND ENHANCE COMPLIANCE MONITORING DASHBOARDS AND REPORTING FORMS WITHIN THE REPORTING SYSTEM, ENSURING THE SANCTION PROCESS IS EFFECTIVE AND EFFICIENT.
ROUTINELY MANAGE, MAINTAIN, AND UPDATE SANCTIONS DATABASES AND RECORDS OF OUTSTANDING FINANCIAL/MONETARY OBLIGATIONS OF LISTED COMPANIES.
CARRY OUT ASSIGNMENTS IN ACCORDANCE WITH DIRECTIONS FROM THE BOARD OF DIRECTORS, DIVISION HEAD, OR UNIT HEAD, IN COMPLIANCE WITH APPLICABLE REGULATIONS AND PROCEDURES, AND COORDINATE WITH RELEVANT STAKEHOLDERS AS REQUIRED.