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.
Last modified: February 16, 2021