Senior Analyst, Securities

JOB PURPOSE

 The Senior Analyst, Industry- Securities has primary responsibility for (i) the ongoing monitoring of the regulatory compliance programme for the securities industry, (ii) the review of controls in place for adequacy, and (iii)  recommending programme changes due to exposures identified or evolving regulatory changes in the securities industry (iv) ongoing monitoring of industry risk. Additionally, the incumbent is responsible for monitoring industry and entity stress testing and other data analysis capabilities of the Securities Division. The Senior Analyst, Industry Risk - Securities will also be the main liaison between the Securities Division and stakeholders (both internal and external) on all securities data related matters.

 OUTPUT FOCUSED JOS SPECIFICATION & DESCRIPTION

 STRAGTEGIC OBJECTIVES

• Development of strategies to enhance the regulatory/supervisory framework of the Securities Industry.
• Development of stress testing models for the Securities Division.
  • Provision of technical support in the area of coordination, research, analysis and documentation of findings and recommendations.
    • Monitoring of projects and preparation of progress reports.
    • Identify and monitor emerging risks.

KEY RESPONSIBILITY AREAS

• Develop appropriate scenarios and conduct stress testing procedures on relevant securities data.
• Develop and maintain systems and procedures for enhancing the data analysis capabilities of the Securities Division.
• Liaise with local and international industry organizations and other stakeholders in obtaining and providing information, gathering data, and carrying out research and analysis for presentation to the Senior Director, Securities .
• Assist the Division with the development of effective policies, guidelines, procedures and programmes to ensure effective regulation/supervision of the SecuritiesIndustry.
• Assist the Manager, Special Projects, Analytics & Surveillance with coordinating the development, finalization and agreement of the Strategic Plan for the Securities Division.
  • Monitor and report on the implementation of plans for the achievement of goals and performance targets for the Securities Division.
  • Develop and maintain a system for monitoring licensees in the Securities Industry.
  • Prepare and submit progress reports on special assignments.
    • Gather information and prepare and/or edit reports or other documents and information as directed by the Manager, Special Projects, Analytics & Surveillance.
    • Assist in the development of bulletins, position papers and other documents geared at informing members of the securities industry and other interested persons in various aspects of the law as it pertains to securities dealings.
    • Assist with ongoing training for the division in  all areas.

QUALIFICATIONS

Education and Experience:

• A first degree in accounting, business administration, finance or a professional designation in accounting.
• A minimum of five (5) years experience in securities regulation or relevant industry experience

 Knowledge of:

• TheSecuritiesActs and Regulations.
• Computerized applications such as Microsoft Excel, Access and Word.
• Principles ofSecuritiesMarket regulation.
• The financial services industry and the securities industry in particular.

 Skills:

• Good decision making and problem solving skills.
• Sound judgement, initiative, and flexibility in formulating responses to difficult regulatory problems
• Ability to respond to the media and the public in a discreet and diplomatic manner
• Ability to communicate clearly and accurately in both oral and written format

2