Financial Research Officer

The Financial Research Officer contributes to the Commission’s objective of the development of the securities market while promoting investor protection.

Responsibilities / Accountabilities

• Review and analyses applications for registration of securities and registrants.
• Process applications for registration, de-registration and renewal of registration by:
  • liaising with applicants and registrants to resolve issues with applications;
  • liaising with internal stakeholders to assess and ensure compliance with existing legislation and guidelines; and
  • making recommendations to the Director – Disclosure, Registration and Corporate Finance.
• Monitor and track the submission of financial statements by reviewing the Commission’s databases and updating the Division’s repository of registrant and securities information.
• Review and analyse the submission of financial statements and other continuous disclosure documents required under the securities legislation.
• Monitor and recommend referral of matters to various divisions where appropriate.
• Monitor, review and where appropriate action all notifications submitted to the Commission by registrants or applicants for registration.
• Provide guidance to internal and external stakeholders on registration and disclosure related matters.
• Develop, undertake and collaborate on research projects on registration and disclosure matters to inform the decision-making process of the Division.
• Collaborate with other internal stakeholders to develop policies, guidelines or regulations by participating in cross-functional committees.
• Perform other job-related duties as requested by the Director, DR&CF/Senior Financial Research Officer.