Temporary Assistant – Compliance - 2 Positions at Capital Markets Authority (CMA)

The job holder will be reporting to the Ag. Senior Manager Market Supervision and will be responsible for supporting the market supervision division in the implementation of compliance programs and initiatives for market intermediaries, security exchanges, and investment funds.

Contract Period: Six (6) Months Fixed Term Contract

The key responsibilities for the position;

1. Conducting onsite and offsite inspection activities in accordance with risk-based supervision methodologies and approved plans and prepare reports;
2. Assisting in conducting risk profiling activities for regulated persons and prepare reports;
3. 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;
4. Implementing relationship management policy for regulated persons;
5. Maintaining a database on compliance by regulated entities with regulatory requirements;
6. Maintaining accurate, up-to-date and detailed electronic information data-base for regulated persons and periodically perform trend analysis;
7. Conducting research on best practices on market supervision including AML/CFT practices;
8. Implementing quality management systems and continuously identifying and managing risks;
9. Undertaking any other responsibilities as and when assigned.

Minimum Qualifications and Experience

1.  Bachelors degree in Law, Finance, Business or relevant field.
2. Proficiency in computer applications such as Microsoft Word, Excel, Access, PowerPoint, and Outlook express including financial and statistical packages.
3. A minimum of one year of relevant experience will be an added advantage.

Key skills, Knowledge and Competencies

1. Knowledge on monitoring and internal controls.
2. Analytical and audit skills.
3. Formal investigative skills
4. Ability to interpret information and make decisions based on the information.
5. Excellent communication, report writing skills and interpersonal skills.