Job description Job Title: Assistant Manager – Market Regulation Reporting to: Manager - Market Regulation Department: Market Regulation Location: Guernsey
Company Overview Built on a culture of responsiveness and innovation, The International Stock Exchange (TISE) provides financial markets and securities services to public and private companies. TISE is best known as one of Europe’s major professional bond markets. Its Qualified Investor Bond Market (QIBM) is the leading market in Europe for listing high yield bonds and private equity debt and has a growing reputation for listing securitisation transactions. TISE also has a pool of investment funds and a significant share of the market for listed UK Real Estate Investment Trusts (REITs), as well as hosting a comprehensive sustainable finance segment, TISE Sustainable. TISE has over 4,500 securities on its Official List with a total market value of more than £750 billion. Issuers choose us because the products are provided through an efficient and cost-effective service from a venue which is internationally recognised and operates to global standards. A wholly owned subsidiary of Miami International Holdings, Inc., TISE is headquartered in Guernsey and operates across Dublin, Guernsey, the Isle of Man, Jersey and London. The operations of TISE are segregated between two companies which separates the commercial interests of the Group from the regulatory activities of the Authority. The International Stock Exchange Group Limited (TISEG) is responsible for TISE’s promotional and business development activities, corporate strategy and shared services (e.g. Finance, HR, IT and Marketing & Communications etc). The International Stock Exchange Authority Limited (TISEA) is a wholly owned subsidiary of TISEG and is licensed to operate the Exchange. TISEA is responsible for the listing of securities on the market and the supervision of Members of the Exchange.
Role Profile
We are seeking to recruit an Assistant Manager within the Market Regulation department based in our Guernsey office. Reporting to the Manager, Market Regulation, the Assistant Manager will be responsible for running the day-to-day operational activity of the team. In anticipation of further growth and future
planned expansion, this is an exciting opportunity to work in capital markets for a locally based company with truly international ambitions.
Duties and Responsibilities • Engender and deliver pro-active, service focussed, engagement with Members of TISE in order
to promote their own, and their issuers’ compliance with the rules of the Exchange.
• Identify and deliver continuous operational and process improvements and efficiencies, enabling
straight through processing wherever possible.
• Lead on all risk-based market monitoring and supervision activities relating to TISE listed issuers,
determining proportionate mitigating actions or escalating matters where appropriate.
• Plan and undertake onsite supervisory visits to Member firms, and report findings and
recommendations to the Listing & Membership Committee.
• Capacity planning, ensuring that all known and/or predictable tasks are planned for and managed
effectively and in a timely manner.
• Support the delivery of effective and relevant management information and reporting for
consideration by the management team, committees or Boards as appropriate.
• Work collaboratively with other departments to ensure shared goals and objectives are achieved,
and that relevant cross functional risks are properly managed.
• Engagement, and development of relationships, with other regulators and agencies in relation
to information and intelligence sharing.
• Support the development of the Membership Rules, continuing obligations section of the Listing
Rules and relevant policies and procedures and applicable website content.
• In time, participate as an active Member of the Listing and Membership Committee (LMC), which
is responsible for regulatory decision making, subject to approval and following appropriate
training.
• Ensure continual personal development to ensure that the job holder is up to date with relevant
legal and regulatory matters.
• Prepare, deliver and attend relevant internal and external workshops, seminars and training
courses.
• Assist with ad hoc projects as requested by the Board.
Key Competencies
• Demonstrable focus on client service excellence.
• Ability to identify and execute operational process improvements.
• Ability to role model company values.
• Ability to exercise good judgement when dealing with partial, ambiguous or complex
information.
• An excellent coach of others.
• Ability to prioritise effectively.
• Ability to work under pressure and meet agreed deadlines.
• Methodical and organised.
• Ability to manage deliverables with minimal supervision.
Personal Attributes
• Analytical and investigative mindset driven by curiosity.
• Excellent communication skills, both written and verbal.
• High level of accuracy and attention to detail.
Qualifications
• Relevant ICA or CISI qualification would be beneficial.
• Relevant industry experience would be beneficial.