VACANCIES

Senior Executive (Risk-Based Supervision), Intermediary Supervision

Your role is:

To execute examinations on intermediaries using a risk base audit methodology to ensure compliance with securities laws, rules and regulations

You will be accountable for:

• Executing examination programs.
• Ascertaining the potential shortcomings and weaknesses of the market intermediaries
• Recording all observations, conclusions and details of vouching together with any irregularities noted
• Documenting the policies, practices, procedures and internal controls of the company
• Recording the scope, the depth and the details of substantive test or work performed during the examination
• Assisting in preparing summary of findings

You should have:

• A strong first degree or a professional qualification in accounting, finance, business or other relevant qualification.
• At least two (2) years’ audit experience at regulatory authority, financial institution, accounting firm or capital market intermediary; and experience in auditing stockbroking companies and futures brokers and/or strong risk-based audit experience will be an added advantage
• Strong interpersonal, analytical and problem solving skills and able to think critically and work independently with serious commitment to job responsibility and quality
• High degree of self-motivation, result-oriented and able to work under pressure
• Strong oral and written communication skills

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