A.Job Summary

The Financial Research Officer contributes to the Commission’s objective of the development of the securities market while promoting investor protection by reviewing, analyzing and processing applications for registration of securities and registrants, as well as ongoing disclosure documents to ensure compliance with securities legislation, guidelines and policies.

B.Responsibilities/Accountabilities

• Review and analyse applications for registration of securities and registrants.
• Process applications for registration, de-registration and renewal of registration by:
• liaising with applicants and registrants to resolve issues with applications;
• liaising with internal stakeholders to assess and ensure compliance with existing legislation and guidelines; and
• making recommendations to the Director – Disclosure, Registration and Corporate Finance.
• Monitor and track the submission of financial statements by reviewing the Commission’s databases and updating the Division’s repository of registrant and securities information.
• Review and analyse the submission of financial statements and other continuous disclosure documents required under the securities legislation.
• Monitor and recommend referral of matters to various divisions where appropriate.
• Monitor, review and where appropriate action all notifications submitted to the Commission by registrants or applicants for registration.
• Provide guidance to internal and external stakeholders on registration and disclosure related matters.
• Develop, undertake and collaborate on research projects on registration and disclosure matters to inform the decision making process of the Division.
• Collaborate with other internal stakeholders to develop policies, guidelines or regulations by participating in cross-functional committees.
• Perform other job related duties as requested by the Director, DR&CF/Senior Financial Research Officer.

C.Minimum Qualifications and Experience

•  Bachelor’s Degree or equivalent in Finance, Accounting, Economics, Management or a related field.
• Two (2) years’ relevant work experience in a regulatory or finance environment.
• Any other equivalent combination of education, training and experience will be considered.