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Job Purpose
To perform audit and risk management duties by professionally evaluating the activities of the Commission to ensure systems of internal controls provide reasonable assurance to Management and identify areas of risks and reduce them to the barest minimum.

Key Accountabilities & Responsibilities
Internal Audit Duties
Develop and prepare annual, quarterly and monthly audit plans.
Audit of transactions.
Review and report on internal controls.
Prepare and present quarterly audit reports to Management, Audit Committee and Internal Audit Agency.
Lead interactions with the Internal Audit Agency and other external bodies.
Liaise with External Auditors.
Identify, develop and document audit issues for Head of Department.
Follow up on external audit reports.
Review operational documents like an operational manual, charter, and work plans.
Collect and review department actions plans.
Undertake operational audits.

Risk Management Duties
Develop and prepare annual and quarterly risk management plans.
Undertake risk assessment for the Commission.
Develop and manage the Commission’s Risk Register.
Submit risk assessment reports to the Head of Department on a monthly basis.
Support the development of the Risk-Based Approach for the various departments.
Prepare and submit a report (monthly, quarterly and annually) to the Head, Audit and Risk Management, etc.

Educational, Professional Qualification and Experience
A minimum of a Master’s Degree in Accounting or Finance or any other relevant field from an accredited tertiary institution.
Must be a member of ICA, ACCA, CIMA or CFA or any other relevant professional body and in good standing.
A minimum of four (4) years post-Bachelor’s degree relevant work experience of a similar position in a reputable organisation.

Skills Required
Excellent knowledge of the laws, rules, regulations, and guidelines relating to Accounting, Internal Auditing, and Procurement.
Excellent knowledge and experience in Accounting and Internal Auditing.
Excellent knowledge and experience in Performance/Operational Auditing.
Good knowledge and experience in Risk-Based Management Framework and Approach.
ICT skills (Word, Excel and PowerPoint), etc.
Excellent communication and report writing skills.
Excellent management (planning, implementation, and evaluation) skills.
Excellent leadership and people management skills.
Good human relations and interpersonal skills.
Strong ethical and professional skills.
Ability to conduct self in a manner that elicits trust, respect, and confidence.
Ability to work under pressure and meet deadlines.
Knowledge and experience in securities market operations.

Job Purpose
Provide leadership by ensuring that the Market Operators comply with all Anti-Money Laundering/Countering Financing Terrorism Laws, Rules and Regulations, Policies and Procedures.

Key Accountabilities & Responsibilities
Develop and implement annual, quarterly and monthly AML/CFT plans
Design and analyse AML/CFT Returns submitted by the Market Operators (MOs) to the Commission.
Implement AML/CFT Guidelines and Administrative Sanctions.
Design and organize training programmes for staff of the Supervisory Departments of the Commission and MOs.
Carry out AML/CFT on-sites inspection and snap check on the MOs.
Updates AML/CFT and other relevant documentation periodically.
Review AML/CFT Compliance Programmes and Risk Assessment Reports of MOs and provide feedback for improvement.
Liaise between the Commission and other AML/CFT stakeholders such as IOSCO, GIABA, FIC, BoG, EOCO, and NIC to ensure compliance by all MOs.
Represent the Commission on AML/CFT issues.
Prepare and submit a report (monthly, quarterly and annually) to the Head, Audit and Risk Management, etc.

Educational, Professional Qualification, and Experience
A minimum of a Master’s Degree in Accounting, Finance, Economics, Statistics, Sociology or Psychology or any other relevant field from an accredited tertiary institution.
Must be a member of a Compliance Association such as; Association of Certified Anti-Money Laundering Specialist Examination (ACAMS) or Certificate in a Professional AML/CFT and be in good standing.
A minimum of four (4) years post-Bachelor’s degree relevant work experience or exposure to AML/CFT compliance in a reputable organisation.

Skills Required
Excellent knowledge of the Laws, Rules, Regulations, and Guidelines relating to AML/CFT issues.
Knowledgeable in current AML/CFT issues.
ICT skills (Word, Excel, and PowerPoint), etc.
Excellent communication and report writing skills.
Excellent management (planning, implementation, and evaluation) skills.
Excellent leadership and people management skills.
Good human relations and interpersonal skills.
Strong ethical and professional skills.
Ability to work with stakeholders within and outside the jurisdiction on issues relating to AML/CFT.
Ability to conduct self in a manner that elicits trust, respect, and confidence.
Ability to work under pressure and meet deadlines.
Knowledge and experience in securities market operations.