08 Sep 2021

Job Purpose:

To assist in regulating Fund Managers, Collective Investment Schemes, Custodians and Trustees to realise the objectives of the Commission.

            Some Key Accountabilities & Responsibilities:

  • Conduct off-site Inspection of Fund Managers and Collective Investment Schemes assigned to you.
  • Conduct on-site Inspection of Fund managers and Collective Investment Schemes assigned.
  • Conduct off-site Inspection of Custodians/Trustees assigned to you.
  • Review applications for renewal of licenses (CIS, Fund Management and Custodians/Trustees).
  • Issue licenses (certificates) of market operators under the Funds Management Department.
  • Monitor compliance with submissions of statutory returns and reports from market operators under your supervision.
  • Issue penalty letters for non-compliance with submission of statutory returns from market operators assigned to you.
  • Maintain correspondence with both internal and external stakeholders.
  • Attend Annual General Meetings (AGMs) of CISs and submit report on the outcome.

        Educational, Professional Qualification and Experience

  • First degree in Economics, Accounting, Banking and Finance or its equivalent.
  • Must have completed National Service.
  • A minimum of 1 year post relevant work experience in a reputable organisation.

       Technical, Managerial & Behavioural Skills Required for The Available Positions:

  • Knowledge of the laws, rules, regulations, guidelines relating to the securities industry and the capital market in general.
  • Working knowledge of the securities market operations.
  • Good investigative skills
  • Good analytical skills.
  • Excellent Report writing skills.
  • Creative, innovative, and good business acumen.
  • Proficient with Microsoft Office, specifically Word, Excel, PowerPoint, and Outlook.
  • Must possess excellent planning skills.
  • Good organizational skills.
  • Excellent time management skills including prioritising of activities.
  • Strong administrative skills.
  • Trustworthiness
  • Excellent communications skills.
  • Good interpersonal skills.
  • Ability to work under pressure to meet deadlines.
  • Strong ethical and professional skills etc.