The key responsibilities for the position;
- Conducting onsite and offsite inspection activities in accordance with risk-based supervision methodologies and approved plans and prepare reports;
- Assisting in conducting risk profiling activities for regulated persons and prepare reports;
- Providing guidance to market intermediaries on compliance practices through liaison with the relevant compliance, risk management and internal audit staff to promulgate strong internal control and compliance environments;
- Implementing relationship management policy for regulated persons;
- Maintaining accurate, up-to-date and detailed electronic information data-base for regulated persons and periodically perform trend analysis;
- Conducting research on best practices on market supervision including AML/CFT practices;
- Implementing quality management systems and continuously identifying and managing risks; and
- Undertaking any other responsibilities as and when assigned.
Minimum Qualifications and Experience
- Bachelors degree in Law, Finance, Business or relevant field;
- Proficiency in computer applications such as Microsoft Word, Excel, Access, PowerPoint, and Outlook express including financial and statistical packages; and
- A minimum of one year of relevant experience will be an added advantage.
Key skills, Knowledge and Competencies
- Knowledge on monitoring and internal controls;
- Analytical and audit skills;
- Formal investigative skills;
- Ability to interpret information and make decisions based on the information; and
- Excellent communication, report writing skills and interpersonal skills.
