Senior Financial Research Analyst (2-year contract)

The Senior Financial Research Analyst contributes to the Commission’s objective of the development of the securities market while promoting investor protection by assisting the Director, DR&CF.

A.    Job Summary

The Senior Financial Research Analyst (“the SFRA”) contributes to the Commission’s objective of the development of the securities market while promoting investor protection by assisting the Director, DR&CF (“the Director”) in administering and monitoring registrant applications and other submissions in accordance with Securities Act, 2012.  The SFRA also assists the Director in developing policies and procedures for implementation of the Securities Act, 2012 and subsidiary legislation. Provides strong support to the Director, DR&CF in achieving strategic objectives and in the reviewing and implementing process improvements. 

 B.    Responsibilities / Accountabilities

• Facilitate the processing of applications for registration of persons and securities in accordance with existing legislation by training, guiding and supervising Financial Research Officers (“FROs”), Financial Research Analyst (“the FRA) and the Clerical Assistant II (“the CAII”).
• Assist in ensuring the accuracy of communications with internal and external stakeholders by reviewing correspondence and reports prepared by FROs and FRA.
• Advise and/or make recommendations to the Director relating to registration of companies and securities, mergers and acquisitions, and other regulatory matters.
• Oversee the preparation and dissemination of periodic reports on registrant and securities data by:
  • Monitoring the update of relevant databases; and
  • Designing/developing reports in response to adhoc or
  • New requests for information
  • Assist in improving departmental operations and performance by collaborating, reviewing and facilitating the implementation of internal policies and procedures.
• Contribute to the growth and development of the securities market by participating in cross-functional teams geared towards legislative and institutional strengthening.
• Provide information on divisional performance and output by designing, compiling, analyzing and reviewing reports.
• Participate in assessing performance of staff by collaborating with Director on performance monitoring and appraisal.
• Coordinate assignment of work among staff by monitoring or reallocating specific tasks or registrants.
• Provides strong support to the Director, DR&CF in achieving strategic objectives and in the reviewing and implementing process improvements. 
• Perform other job related duties as assigned by the Director.

 C.    Minimum Qualifications and Experience

• Bachelor’s degree in Finance, Accounting, Economics, Management or related field. 
• Post graduate degree or qualification in Finance, Accounting, Management, Economics or a related field will be an asset.
• Five (5) years’ experience at a professional level in a regulatory/ finance or similar environment.
• Three (3) years' supervisory experience.
• Any other equivalent combination of education, training and experience will be considered.

 D.    Competencies

 Technical

• Knowledge of accounting principles, standards and procedures
• Knowledge of financial markets and financial instruments.
• Understanding the structure and operations of the securities market.
• Familiarity with key provisions of the Companies Act, Financial Institutions and Financial Intelligence Unit Act.
• Research skills.
• Written and oral communication skills.
• Proficiency in Microsoft Office Suite with a strong emphasis on Microsoft Word, Excel, PowerPoint and Outlook.