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Provide critical support to the
Director in driving the achievement of the Division’s operational and strategic mandate.
Responsibilities / Accountabilities
Assists the Director in activities relating to the oversight of registrants and other market actors to ensure compliance with the governing securities legislation;
Conducts inquiries and assists the Director in overseeing inquiries into suspected market misconduct including illegal insider trading, market manipulation and the activities of brokerage houses;
Conducts surveillance and monitors Financial Research Officers (“FROs”) in the conduct of surveillance of trading activities on the Trinidad and Tobago Stock Exchange for the purpose of identifying and reporting any suspicious activity;
Analyses and prepares reports for the consideration of Management and the Board in respect of matters pertaining to self-regulatory organizations (“SROs”) including, but not limited to, SRO Rule changes, trading and settlement mechanisms and de-listings;
Conducts inquiries into and reports on complaints received from investors who might be aggrieved by activities of registrants or non-registrants and makes appropriate recommendations for enforcement action (where necessary);
Reviews all work prepared by FROs to ensure adequate quality and accuracy, and ensures that all matters for the attention of the FROs are actioned in a timely fashion;
Reviews FROs trading reports and ensures follow-up action on flagged trades;
Provides training and technical guidance to FROs and OJTs in the conduct of their assignments;
Prepares reports on technical matters that fall under the Division’s purview for the consideration of Management and the Board;
Leads or assists in the conduct of formal investigations as mandated by the Board;
Leads or participates in research projects on rules, policies and regulations and provides recommendations, as applicable;
Assists in the planning and execution of the Division’s strategic deliverables;
Represents the Division on cross-functional projects and committees of the Commission; and
Performs other related duties as required.
Minimum Qualifications and Experience
Bachelor’s Degree in Finance/Accounting or related field.
Postgraduate qualification in Finance / Management will be considered an asset
5 years' experience at a professional or supervisory level in a related field.
Any other equivalent combination of education, training and experience
Technical Competencies
Keen sense of observation and attention to detail
Excellent written and oral communication skills
Strong supervisory skills
Strong project planning and execution skills
Knowledge of domestic and international financial markets and instruments
Ability to interpret and analyse financial statements
Research skills
Ability to organize and prioritize work effectively
Clear understanding of the securities legislation, complementary laws and guidelines
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Senior Financial Research Officer
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