Officer - Examinations Department

Duties/Responsibilities:

• Plan and conduct field inspections of licensees and registrants of the Commission and various securities, mutual funds and capital markets products offered by market participants 
• Conduct informational interviews with licensees and registrants of the Commission
• Prepare compliance reports and deficiency letters, to licensees and registrants upon completion of field inspections 
• Monitor and follow up with licensees and registrants on satisfactory resolution of deficiencies identified in inspection reports 
• Assist with investigations of regulated and unregulated securities, mutual funds and capital market participants 
• Review and analyse financial statements of licensees and registrants of the Commission 
• Ensure compliance with regulatory capital requirements, and reviews of financial disclosure submissions currently being provided by any registrant of the Commission.
• Any other duties or projects assigned by the manager from time to time. 

Knowledge/Skills:

• Proficiency in Microsoft Office Suite (Word, Advanced Excel, Access, PowerPoint.
• Well developed analytical thinking and problem solving skills 
• Quick learner 
• Team player 
• Intellectual curiosity 
• Superior organizational skills 
• Excellent written and oral communications skills 
• Adherence to established procedures and practices. 
• Accurate and detail oriented 
• Exemplary internal and external customer service skills 

Qualifications/Experience

• Bachelor’s Degree in Accounting, Finance, Banking or Law 
• 1-2 years’ experience in auditing, public accounting or compliance department
• 1-2 years supervisory experience 
• Series 7 or equivalent preferred 
• Knowledge of securities and financial and corporate service providers legislation
• Knowledge of AML/KYC and general financial sector regulatory environment
• Risk management experience 
• Prepared to undergo professional accounting or auditing designation 

Compensation and Benefits:

• Packages are competitive within the financial services industry and other regulatory bodies.