Senior Officer - Examinations Department

Duties/Responsibilities:

• Act as the lead examiner for on-site regulatory examinations in accordance with the applicable legislative requirements of each of the Commission’s licensees, which includes, but not limited to: 
  • Conduct interviews and liaise with the Commission’s licensees. 
  • Gather electronic documentation via e-mail correspondence, secure within MKinsight audit software, and documentation of regulatory audit work. 
  • Review client files and documentation of the results. 
• Draft routine examination reports (RERs). 
• Attend meetings with licensees at entry, exit and during the course of the on-site examination. 
• Assist with updating work programs in MKinsight as may be required.
• Assist with updating templates used in the conduct of exams as may be required.
• Assist with the preparation and the conduct of annual agent training. 
• Preparation being the updating of the PowerPoint slide show presentation.
• Conduct being the presentation of the PowerPoint slides at the training.
• Perform reviews of the work performed by officers. 
• Address review notes passed down by the assistant manager, deputy manager and examinations department manager. 
• Support management in international regulatory body report submissions, questionnaires, surveys and the like. 
• Provide support, training and oversight to junior team members. 
• Attend special ad hoc meetings and provide support to superiors in the completion of special projects.
• Assist examinations team members with other routine and ad hoc tasks as necessary. 

Knowledge/Skills:

• Demonstrate in-depth knowledge of capital markets, investment management, collective investment schemes and corporate structures. 
• Strong knowledge of financial services operations and products. 
• Strong command of legislation administered by the Commission. 
• Strong written and oral communications skills. 
• Demonstrate resilience in the face of challenges. 
• Analytical thinker and results-oriented. 
• Strong organizational skills and ability to meet deadlines. 
• Proficient in Microsoft Office (Word, Excel, PowerPoint). 

Qualifications/Experience:

• 5+ years of regulatory and/or financial services experience. 
• Bachelor’s degree in accounting or finance. 
• Active pursuit of CPA or CA. 
• Anti-money laundering (AML)/Compliance qualifications would be an asset.
• International Compliance Association (ICA) certificates and diplomas.
• Association of Certified Anti-Money Laundering Specialists (ACAMS) AML certification
• Broad knowledge of capital markets, products, legislation and regulatory environment. 

Compensation and Benefits:

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