The Commission is recruiting for a Technical Specialist or Senior 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 ideally have investigation or financial services / compliance experience 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 roles will include:
- Identifying, investigating and taking action against those conducting business in breach of regulatory and corporate regimes.
- Conducting statutory investigations, including site visits, obtaining evidence, preparing interview plans and conducting interviews, preparation of Notices, and preparation for meetings; attending meetings; preparing 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 referring supervisory division.
- Liaising with international regulators to ensure effective co-operation and exchange of information with regard to regulatory enforcement, disciplinary and financial crime enquiries/investigations.
- Meeting with licensees and counsel to discuss potential contentious issues surrounding an investigation and findings.
- Identifying whether external expertise/resource is required for investigations, if so, making recommendations to the Deputy Director or Director as appropriate and with costs of any such assistance.
Click here for the Senior Analyst job description.
Click here for the Technical Specialist job description.