Consultant James Greenland
Date posted 22 December 2016
In-house role essential to regulation of New Zealand’s capital markets Lawyers with 2-3 years’ pqe in banking and finance / commercial corporate law are encouraged to apply. Internal and external stakeholder engagement essential. NZX lawyers offer advice to listed entities on compliance and applications under the listing rules.
NZX provides high quality information, data and tools to support business decision making. We build and operate capital, risk and commodity markets and the infrastructure required to support them. We strive to make a meaningful difference to wealth creation for our shareholders, and the individuals, businesses and economies in which we operate.
Solicitor – Issuer Regulation team
The role is central to the functioning of the Regulation team of NZX.
NZX Regulation performs an important role in the operation and regulation of NZX’s securities and derivatives markets which are at the heart of New Zealand’s capital markets and vital to NZX’s business.
Assisting issuers to complete regulated transactions
- Transactional work
- Leads NZX’s role in assisting issuers to complete transactions, including primary and secondary capital raisings
- Leads NZX approval process for range of listed issuer requirements
- Leads applications received from issuers for Listing Rule waivers
- Supports operation of NZX’s markets, working with NZX’s operational teams to ensure transactions function effectively
- Provides guidance on compliance with NZX’s market rules to listed companies, NZX market participants and their legal advisers
Leadership and management
- Lead and provide technical advice on transactional work, including leading divisions of staff
- Provide guidance and leadership for junior staff members on transactional work
- Opportunities to support team development, recognizing areas of growth and feedback
Team function and development
- Identify and lead internal team development projects
- Support and manage internal reporting processes, in a timely manner
Internal relationships and external relationships
- Appropriately manage and develop internal and external relationships
- Represent NZX Regulation at events internally and externally
- Take responsibility for developing own networking relationships
Junior/Intermediate Lawyer – 2-3 pqe
- Analysis and decision making skills
- Completes high quality analytical work on applications, accurately identifying legal issues in relation to factual situations and develops legal analysis
- Identifies key information and precedent in order to make decisions, including identifying when escalation is required
- Exercises sound judgment in proposed regulatory decision-making, which focuses on consistent and appropriate outcomes
- Makes compelling arguments based on evidence, in both communication externally and internally
- Follows processes, identifying where variation is required or update needed, including as a result of market developments
- Accurately researches relevant law and rules to resolve queries
- Communicates complex information in a clearly understandable manner
- Ability to communicate clearly, using appropriate tone and language in a variety of situations, including with representatives of listed issuers, participants and members of legal profession
- Strong negotiation and oral communication skills
- Pro-actively engages stakeholders to resolve issues
- Written work is error free, grammatically correct, logically structured, consistent with NZX style and branding guidelines and uses Regulation precedent
- Current practicing certificate (or ability to obtain one) and preferably at least 2 - 3 years’ post qualification experience
- Interest in capital markets, market infrastructure and / or regulation
- A willingness to learn
For young lawyers considering their “OE”, an in-house role with a market regulator like NZX provides a pathway into top-tier overseas financial regulatory work – for example with the Financial Conduct Authority in London.
Not the kind of in-house role that might be considered a “one-way street”. Lawyers with experience working for NZX are frequently headhunted by top-tier private practices and public agencies.
Robert Walters endeavours to review all applications in a maximum of five working days. If you have not received correspondence in this timeframe please do not hesitate to contact James Greenland on +64 (0)4 471 9706.