01 Jul 2021

   Job Purpose:

   To perform audit and risk management duties by professionally evaluating the activities of the SEC to identify areas of risks and reduce them to the barest minimum and ensure that the systems of internal controls provide reasonable assurance to Management that this mandate is fulfilled.


  Some Key Accountabilities & Responsibilities:

  • Assist in the development and implementation of Annual Audit and Risk Management Plans.
  • Audit of transactions of the Commission.
  • Review and report on internal controls.
  • Assist in the implementation of Risk-Based Internal Audit Framework.
  • Participate in interactions with Internal Audit Agency and other external bodies.
  • Liaise with External Auditors.
  • Identify, develop and document audit issues for review by your supervisor and the Head of Department.
  • Follow-up on external audit reports.
  • Undertake operational audits.
  • Assist in the management and review of the SEC’s Risk Register.
  • Assist in organize quarterly Risk Management Meetings.
  • Prepare and submit minutes of the Risk Management Committee Meetings for review by your supervisor and onward submission to the Head of Department.
  • Assist in executing the mandate of the Complaints Unit of the Audit and Risk Management Department.
  • Assist in the preparation of a monthly report to Management.
  • Assist in the preparation of quarterly Audit and Risk Management reports to Management, Audit Committee and Internal Audit Agency etc.

 Educational, Professional Qualification and Experience:

  • BSc Administration in Accounting, Finance or equivalent qualification, master’s in Accounting or Finance from an accredited tertiary institution is an advantage.
  • Professional qualification such as ICAG, ACCA, CIMA or any other relevant professional body and in good standing is an advantage.
  • Proficient with Microsoft Office, specifically Word, Excel, PowerPoint and Outlook is a must.
  • A minimum of six (6) years post-Bachelor’s degree relevant work experience.




  • Knowledge of the laws, rules, regulations and guidelines relating to Accounting, Internal Auditing and Procurement.
  • Knowledge and experience in Accounting and Internal Auditing.
  • Knowledge and experience in Performance / Operational Auditing.
  • Knowledge and experience in Risk-Based Internal Audit Framework.
  • Investigative and analytical skills.
  • Good report writing skills.
  • 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.
  • Proficient with Microsoft Office, specifically Word, Excel, PowerPoint and Outlook.


  • Must possess excellent planning skills.
  • Excellent organisational skills.
  • Excellent time management skills including prioritising of activities.
  • Ability to influence colleagues to work towards achieving the department’s objectives.
  • Excellent decision-making and problem-solving skills.
  • Strong administrative skills.



  • Hardworking and desire to learn.
  • Excellent communications skills.
  • Good interpersonal skills.
  • Ability to work under pressure to meet deadlines.
  • Strong ethical and professional skills etc.