| Requirnment |
Statement of the PurposeThe job holder is responsible for supervision, monitoring and inspection of Capital market activities to ensure fairness, transparency, compliance with rules and regulations and maintain market integrity.Specific Duties and Responsibilities:Conduct pre-certification inspectionMonitor and supervise market activities, including trading, transactions, and participant behaviour, to maintain integrity and investor confidenceConduct both onsite and offsite examinations to ensure market participants adhere to regulatory rules and requirements, detecting and addressing potential violations in the lesion with the Investigation and Enforcement departmentConduct surveillance activities to identify unusual trading patterns, potential market manipulation, and insider tradingconduct financial market analysisSupervise the entry of market participants, credit rating agencies, and foreign investorsInspect pre- and post-offering activities of public companiesConduct onsite and offsite inspections on licensed capital market service providers and market infrastructure.Lead investigations into suspicious activities or potential violations, collecting evidence and collaborating with legal teams.Prepare accurate and timely reports on market surveillance findings and regulatory compliance for internal use and external stakeholders.Collaborate with market participants, legal experts, and other relevant parties to ensure effective oversight and compliance.Recommend and implement appropriate enforcement actions in response to violations, working closely with regulatory investigation and enforcement department.Evaluate and identify potential risks to market integrity and propose risk management strategies to mitigate them.Contribute to the development and enhancement of market surveillance policies and procedures.Use technology tools and systems to enhance market surveillance capabilitiesAnalyse market data and trends to identify potential irregularities or patterns requiring investigation.Analyse trade data to identify unusual trading patterns, potential market manipulation, and insider trading.Collaborate with the Investigation and Enforcement department for further exploration.Provide guidance and advice to intermediaries on compliance matters, regulatory requirements, and best practices.Performs related works as requiredConduct pre-certification inspectionConduct pre-certification inspectionMonitor and supervise market activities, including trading, transactions, and participant behaviour, to maintain integrity and investor confidenceMonitor and supervise market activities, including trading, transactions, and participant behaviour, to maintain integrity and investor confidenceConduct both onsite and offsite examinations to ensure market participants adhere to regulatory rules and requirements, detecting and addressing potential violations in the lesion with the Investigation and Enforcement departmentConduct both onsite and offsite examinations to ensure market participants adhere to regulatory rules and requirements, detecting and addressing potential violations in the lesion with the Investigation and Enforcement departmentConduct surveillance activities to identify unusual trading patterns, potential market manipulation, and insider tradingConduct surveillance activities to identify unusual trading patterns, potential market manipulation, and insider tradingconduct financial market analysisconduct financial market analysisSupervise the entry of market participants, credit rating agencies, and foreign investorsSupervise the entry of market participants, credit rating agencies, and foreign investorsInspect pre- and post-offering activities of public companiesInspect pre- and post-offering activities of public companiesConduct onsite and offsite inspections on licensed capital market service providers and market infrastructure.Conduct onsite and offsite inspections on licensed capital market service providers and market infrastructure.Lead investigations into suspicious activities or potential violations, collecting evidence and collaborating with legal teams.Lead investigations into suspicious activities or potential violations, collecting evidence and collaborating with legal teams.Prepare accurate and timely reports on market surveillance findings and regulatory compliance for internal use and external stakeholders.Prepare accurate and timely reports on market surveillance findings and regulatory compliance for internal use and external stakeholders.Collaborate with market participants, legal experts, and other relevant parties to ensure effective oversight and compliance.Collaborate with market participants, legal experts, and other relevant parties to ensure effective oversight and compliance.Recommend and implement appropriate enforcement actions in response to violations, working closely with regulatory investigation and enforcement department.Recommend and implement appropriate enforcement actions in response to violations, working closely with regulatory investigation and enforcement department.Evaluate and identify potential risks to market integrity and propose risk management strategies to mitigate them.Evaluate and identify potential risks to market integrity and propose risk management strategies to mitigate them.Contribute to the development and enhancement of market surveillance policies and procedures.Contribute to the development and enhancement of market surveillance policies and procedures.Use technology tools and systems to enhance market surveillance capabilitiesUse technology tools and systems to enhance market surveillance capabilitiesAnalyse market data and trends to identify potential irregularities or patterns requiring investigation.Analyse market data and trends to identify potential irregularities or patterns requiring investigation.Analyse trade data to identify unusual trading patterns, potential market manipulation, and insider trading.Analyse trade data to identify unusual trading patterns, potential market manipulation, and insider trading.Collaborate with the Investigation and Enforcement department for further exploration.Collaborate with the Investigation and Enforcement department for further exploration.Provide guidance and advice to intermediaries on compliance matters, regulatory requirements, and best practices.Provide guidance and advice to intermediaries on compliance matters, regulatory requirements, and best practices.Performs related works as requiredPerforms related works as requiredQualification Requirements:Bachelor’s degree or above in Finance and Accounting or related filed from an Accredited or recognized learning institution.6 years of relevant experience in financial reporting and financial analysis. (CPA/ACCA or certified with a related professional accounting or financial qualifications).Bachelor’s degree or above in Finance and Accounting or related filed from an Accredited or recognized learning institution.Bachelor’s degree or above in Finance and Accounting or related filed from an Accredited or recognized learning institution.6 years of relevant experience in financial reporting and financial analysis. (CPA/ACCA or certified with a related professional accounting or financial qualifications).6 years of relevant experience in financial reporting and financial analysis. (CPA/ACCA or certified with a related professional accounting or financial qualifications).Behavioural Competencies/Attributes:Specialised technical skillsAdvanced computer skillsPlanning and organisingSupervisory skillsAnalytical and problem-solvingTime managementInterpersonal skillsCommunicationAdaptabilityInitiativeSpecialised technical skillsSpecialised technical skillsAdvanced computer skillsAdvanced computer skillsPlanning and organisingPlanning and organisingSupervisory skillsSupervisory skillsAnalytical and problem-solvingAnalytical and problem-solvingTime managementTime managementInterpersonal skillsInterpersonal skillsCommunicationCommunicationAdaptabilityAdaptabilityInitiativeInitiative |
| How to apply |
Statement of the Purpose The job holder is responsible for supervision, monitoring and inspection of Capital market activities to ensure fairness, transparency, compliance with rules and regulations and maintain market integrity. Specific Duties and Responsibilities: Conduct pre-certification inspection Monitor and supervise market activities, including trading, transactions, and participant behaviour, to maintain integrity and investor confidence Conduct both onsite and offsite examinations to ensure market participants adhere to regulatory rules and requirements, detecting and addressing potential violations in the lesion with the Investigation and Enforcement department Conduct surveillance activities to identify unusual trading patterns, potential market manipulation, and insider trading conduct financial market analysis Supervise the entry of market participants, credit rating agencies, and foreign investors Inspect pre- and post-offering activities of public companies Conduct onsite and offsite inspections on licensed capital market service providers and market infrastructure. Lead investigations into suspicious activities or potential violations, collecting evidence and collaborating with legal teams. Prepare accurate and timely reports on market surveillance findings and regulatory compliance for internal use and external stakeholders. Collaborate with market participants, legal experts, and other relevant parties to ensure effective oversight and compliance. Recommend and implement appropriate enforcement actions in response to violations, working closely with regulatory investigation and enforcement department. Evaluate and identify potential risks to market integrity and propose risk management strategies to mitigate them. Contribute to the development and enhancement of market surveillance policies and procedures. Use technology tools and systems to enhance market surveillance capabilities Analyse market data and trends to identify potential irregularities or patterns requiring investigation. Analyse trade data to identify unusual trading patterns, potential market manipulation, and insider trading. Collaborate with the Investigation and Enforcement department for further exploration. Provide guidance and advice to intermediaries on compliance matters, regulatory requirements, and best practices. Performs related works as required Qualification Requirements: Bachelor’s degree or above in Finance and Accounting or related filed from an Accredited or recognized learning institution. 6 years of relevant experience in financial reporting and financial analysis. (CPA/ACCA or certified with a related professional accounting or financial qualifications). Behavioural Competencies/Attributes: Specialised technical skills Advanced computer skills Planning and organising Supervisory skills Analytical and problem-solving Time management Interpersonal skills Communication Adaptability Initiative |