Temporary Assistant – Compliance - 2 Positions at Capital Markets Authority
Published On:
24th, April 2023
Closes on:
3rd, May 2023
Job closed
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Job Description
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
Responsibilities:
- 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 a database on compliance by regulated entities with regulatory requirements;
- 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;
- Undertaking any other responsibilities as and when assigned.
Requirements: