ENSURING INVESTOR PROTECTION

Senior Manager, Investigations
GSE STOCK FEED [Delay=3mins]

Senior Manager, Investigations

January 26, 2021

Job Purpose:

To identify and investigate potential market misconduct and to make recommendations to management for the appropriate regulatory action.

 

   Major Accountabilities & Responsibilities:

  • Develop and document appropriate procedures for investigations using a risk-based approach.
  • Lead investigations, identify strategies to resolve investigative bottlenecks, and facilitate relevant information retrieval.
  • Manage large volumes of documents/data and conduct premises checks and offsite interviews.
  • Prepare effective case planning, create evidence schedules, conduct pattern analysis, and engage cross-reference tools to assess the validity and relevance of evidence as it is collected.
  • Provide support to case prosecution /legal action, prepare and present data analysis, interpretation, and reports and appear as a witness in hearings.
  • Assist in executing the mandate of the Complaints Unit of the Audit and Risk Management Department.
  • Review referrals from market surveillance.
  • Obtain evidence of possible violations of securities law from sources including market surveillance reports, inspection reports, tips, complaints, etc.
  • Investigate infractions/market abuse referred and/or identified.
  • Conduct inquiries, witness interviews, trade data, etc.
  • Liaise with other operational departments to ensure investigations are thorough.
  • Prepare investigation reports of criminal cases for referral to Law enforcement agencies.
  • Liaise with the law enforcement agencies to bring, resolve, or prosecute persons involved in market infractions.
  • Prepare and present monthly, quarterly, and annual investigations report to Management, etc.

 

 Educational Qualification and Experience:

  • Master’s Degree in Psychology, Sociology, Criminology, Law, Business Administration or any other relevant field from an accredited tertiary institution.
  • Must be a member of CFA, ICA, ACCA, CIMA, GBA, or any other relevant professional body and in good standing.
  • A minimum of twelve (12) years post First Degree qualification experience, four (4) of which must be in a managerial level in a reputable organization.

 

Technical, Managerial & Behavioural Skills Required:

  • Strong understanding and knowledge of the capital market, trading products, the role of market participants, and the Securities Industry Law and Regulations.
  • Ability to gather financial and other intelligence.
  • Abreast with legal issues.
  • Interview and interrogation skills.
  • Strong understanding of emerging cryptocurrency, crypto assets, crypto platforms, and social media.
  • Computer Literate and IT skills (Word, Excel, PowerPoint, etc)
  • Strong project management and problem-solving skills with the ability to demonstrate professional skepticism, resourcefulness, and good business judgment.
  • Excellent communication skills with the ability to actively listen, probe and interpret information and to present complete, technical information orally and in writing coherently, concisely, and persuasively.
  • Analytical skills i.e. extensive experience analyzing financial market trading data with a focus on detecting potential manipulative and deceptive methods of trading activities.
  • Investigative, market surveillance, and research skills.
  • Report writing skills.
  • Excellent planning and execution skills.
  • Good leadership and supervision skills.
  • Experience with change management would be a plus.
  • Ability to influence cooperation and compliance with existing policies, processes, and procedures of the Commission.
  • Ability to conduct self in a manner that elicits trust, respect, and confidence.
  • Strong ability to work under pressure and meet deadlines.
  • Strong ethical and professional skills.
  • Strong inter-personal skills etc.

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Last modified: February 16, 2021

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