Regulatory Affairs Officer (Lawyer)

The Philippine Stock Exchange, Inc. (PSE); Taguig; On-site; PHP 400,000 - 600,000; Full time

Job summary

A leading financial institution in Taguig is seeking a legal professional to provide advice on listing regulations and compliance. Responsibilities include evaluating applications, preparing legal documents, and coordinating with regulatory agencies. The ideal candidate is a Philippine Bar member with at least 3 years of experience in corporate transactions and strong analytical skills. This role requires on-site work in BGC, Taguig.

Qualifications

• Member of the Philippine Bar with a strong academic background.
• Experience in corporate and capital market transactions.
• Experience in investment banking is an advantage.

Responsibilities

• Evaluate listing applications and disclosures for compliance.
• Review potential non-compliance reports.
• Coordinate with the Office of the General Counsel.

Skills

Conceptual, analytical, and strategic thinking

Excellent written and oral communication

Strong presentation skills

Strong interpersonal skills

Attention to detail

Ability to manage competing complex issues

Ability to work in a fast-paced environment

Education

Member of the Philippine Bar

At least 3 years of relevant experience

Job description

Job Summary

Responsible for providing legal and regulatory advice and assistance to the Issuer Regulation Division ("IRD") in relation to the application and interpretation of all listing and disclosure rules, regulations and policies of the Exchange. This position ensures that the application and interpretation of the listing and disclosure rules, regulations, and policies are accurate, sufficient, and in compliance with existing laws, rules and regulations.

Job Description

I. Legal Services

1. Evaluates listing applications, reports, disclosures and other documents submitted by issuers/companies to verify compliance with the rules, regulations, and policies of the Exchange;

2. Reviews and evaluates reports of possible non-compliance with the listing and disclosure rules;

3. Coordinates with the Office of the General Counsel (“OGC”) regarding matters that have been endorsed by the IRD Head to the OGC;

4. Reviews and proposes revisions to the listing and disclosure rules;

5. Monitors the issuances of relevant regulatory agencies and updates the IRD team of the same;

6. Preparation of legal memoranda in connection with the review of listing applications and/or resolution of disclosure cases;

7. Prepares the letters and other correspondences to the Securities and Exchange Commission (“SEC”), other regulatory agencies, listed companies, and other stakeholders or addressees in all IRD-related matters; and

8. Performs such other legal tasks that may be assigned from time to time.

II. Business Plans, Policies, and Procedures

1. Coordinates with the departments in the preparation of the Division’s business plans and budget;

2. Assists in the formulation of policies, systems, and procedures of IRD; and

3. Reviews existing policies, systems, and procedures of IRD and, where appropriate, recommends amendments thereto.

Qualifications

Education:

• Member of the Philippine Bar; excellent academic background;

• At least three (3) years of relevant experience handling corporate and capital market transactions;

• Knowledge/background/experience in investment banking as well as regulatory and compliance matters is an advantage; and

• Understanding of the basic financial and accounting concepts is a plus but not mandatory.

Skills:

• Conceptual, analytical, and strategic thinking;

• Excellent written and oral communication and strong presentation skills;

• Strong interpersonal skills and comfortable in liaising with internal and external stakeholders;

• Strong attention to details;

• Ability to manage competing complex issues; and

• Ability to work in a fast-paced environment.

• Willing to work on-site (BGC, Taguig)