Lead advisory

2.2.1 Lead advisory

Description of role

Responsible for providing the issuer of a security with advice relating to the issue, including readiness assessments, valuations and post-placement assistance, and also making sure they comply with the laws and regulations

Core skills

Knowledge of financial instruments and relevant securities
Knowledge of end-to-end process of issuing a security
Ability to analyse and identify the client issue to develop solutions
Ability to read complex financial statements and develop valuations for securities
Knowledge of financial modelling, valuation and due diligence
Understanding of underwriting process, offering and listing process
Ability to prepare offering and listing memoranda / documents
Ability to advice clients on compliance and governance obligations
Understanding of public disclosures requirements

Qualification and/ or certification

QFSQF Level 4
Professional certification desirable (e.g. CFA)
Relevant experience

Industry knowledge

Knowledge of investment banking industry
Knowledge of capital markets products

Regulatory compliance of role

Knowledge of laws and regulations that may impact the client / the issue of securities
Knowledge of applicable laws, regulations, rules and codes of conduct

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