The Commission is recruiting for an Analyst to join the Enforcement Division in a varied role that covers all areas of the finance industry.
Where sufficient and appropriate, the Commission will address regulatory contraventions or misconduct by agreement with the person or firm concerned, through ongoing supervisory processes, and try to agree the implementation of a remedial action plan.
Where the nature of the contravention or misconduct is of sufficient seriousness, enforcement measures or a combination of remediation and enforcement measures may be warranted. Where appropriate, the Commission will engage the party with a view to reaching agreed terms regarding these measures. The Commission will determine the appropriateness of such engagement on a case by case basis.
The successful candidate will like to start or continue their career in investigations and will look to methodically question and analyse a variety of information and documents. Applications should demonstrate experience with report writing and meeting deadlines. Any experience in conducting interviews is desirable.
The main duties and responsibilities of the role will include:
- Identifying, investigating and taking action against those conducting business in breach of regulatory and corporate regimes.
- Conducting statutory investigations, including arranging and undertaking on-site visits to licensees to investigate reported breaches of the regulations, obtain evidence, conduct interviews, preparation of Notices, preparation for meetings; attending meetings; preparing accurate notes of meetings etc. in reasonable, proportionate, efficient and fair manner.
- Managing the day to day running of their respective enforcement cases by liaising as appropriate with the referring supervisory Division.
- Evaluating evidence and formulating reports of investigative findings for consideration by the Assistant Director and Director of Enforcement, containing clear conclusions and recommendations and include, where appropriate, relevant cases, and reputation risk.
- Producing affidavits, witness statements, obtain expert opinions, including analysis of information, etc. and be conscious of deadlines as set by the Director and Deputy Director of Enforcement.
- Maintaining accurate, clear and concise completed records recording progress of investigations allocated to you, and decisions taken in respect of them by either yourself or the Assistant Director, Deputy Director or Director. Ensuring written work can be relied upon as a Commission record.
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