SECURITIES ANALYST – FIXED TERM CONTRACT

About the role

Reporting to the Manager, Securities, the Analyst supports regulatory programmes under the Securities Act by assessing the financial health, risk exposure and compliance of securities firms and other regulated entities. The role also prepares analyses and reports to support regulatory decision-making.

Responsibilities

• Monitor the activities and financial health of the securities industry.
• Conduct statistical analyses, support the development of risk-management systems, collaborate with team members, and report and present findings.
• Identify potential concerns, risks and statutory compliance issues involving securities companies, the stock exchange, securities issuers and other regulated entities, and advise Senior Analysts and Managers.
• Administer policies and procedures to support timely, efficient operations.
• Develop and use programmes to collect information and monitor compliance with filing requirements, deadlines and financial criteria.
• Analyse investment and lending policy submissions from collective investment schemes and other regulated entities.
• Explain statutory requirements and administrative policies to the public and industry by responding to correspondence and telephone enquiries.
• Monitor the information-processing system for annual statements and fee submissions.
• Develop computer-based financial programmes to analyse regulatory filings from securities dealers, investment advisers, collective investment schemes, the stock exchange and other regulated entities, as well as financial trends across the securities