• 2.5.3 Professional advisers


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    Description of role

    Responsible for providing advice on a wide range of issues of capital markets entities, including advising on listing, offerings etc.     

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    Core skills

    • Ability to develop and manage in-house legal processes that protect the exchange against the legal implications of its decisions
    • Ability to develop and maintain compliance guidelines and ensure they are adhered to by all business units
    • Ability to assess investment requirements required to improve the legal infrastructure
        
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    Qualification and/ or certification

    • QFSQF Level 3
    • QFMA CISI (mandatory)
      • International Introduction to Securities and Investment
      • QFMA Rules and Regulation
      • International Introduction Award
    • Certificate in Wealth Management
    • Professional qualification in relevant field desirable
    • Relevant experience

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    Industry knowledge

    • Knowledge of capital markets products
    • Knowledge of capital market processes (e.g. IPO)

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    Regulatory compliance of role


    • Knowledge of QFMA law and regulations
    • Disclosure requirements and fair treatment of minority interests
    • Ability to perform legal due diligence