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Adviser, Enforcement

Date Posted
26th October 2017
Banking & Financial Services, Legal
Job Type
Port of Spain
Not Disclosed

Job Summary

The Trinidad and Tobago Securities and Exchange Commission invites applications to fill one contract position of Adviser, Enforcement In the Legal Advisory and Enforcement Division

Job Description

Job Summary

The Adviser, Enforcement is required to enhance the Enforcement capabilities of the Commission. As such, the incumbent will be required to design, develop and establish an effective and efficient enforcement framework that includes the development of policies and procedures for the conduct of investigations into market abuse, insider trading, other securities crimes and contraventions, development of links with local and foreign law enforcement and regulatory authorities, procedures and protocols for the sharing of information with other authorities and the development, preparation and implementation of policies and procedures for Anti-Money Laundering regulation by the Commission.



  1. Develops and documents comprehensive procedures and policies for investigation on securities contraventions and fraud;
  2. Conducts/leads, as required, investigations into market abuse, market manipulation, insider trading and other securities market contraventions;
  3. Develops and documents policies and procedures for monitoring, detecting and investigating Anti-Money Laundering offences in securities transactions;
  4. Develops staff networks for collaboration between the Commission and local and foreign law enforcement and regulatory agencies;
  5. Trains TTSEC Staff in investigative skills and in the conduct of investigations as required;
  6. Recommends resources, systems and processes to facilitate the operationalisation of an effective Enforcement Unit;
  7. Interprets and recommends changes in the securities legislation to ensure effective capacity and power for enforcement;
  8. Advises the Commission on any matter pertaining to securities law;
  9. Assists in the prosecution at Civil or Criminal level of any matter relating to the contravention of the Securities Act;
  10. Advises the Commission on all matters related to the effective surveillance, detection, investigation and prosecution of any contraventions or possible contraventions of the Securities Act.


Minimum Qualifications and Experience

  • A minimum of a first degree, preferably with some specialization in Law, Economics, Forensic Accounting, Finance or a relevant Bachelor’s Degree by a recognized institution.
  • At least 15 years’ experience with increasing responsibility in fraud/white collar crime investigations in a law enforcement agency.
  • Any relevant combination of qualifications, training and experience.



Technical Competencies

  • Excellent investigative and analytical skills
  • Understanding and interpreting financial statements and transactions
  • Planning, supervising and delegating skills


Behavioural Competencies

  • Integrity
  • Team Leadership
  • Initiative / Drive
  • Customer Orientation
  • Achievement Orientation
  • Strategic Understanding
  • Interpersonal Understanding
  • Analytical Thinking
  • Self-motivated and self-directed
  • Relationship Building


Key Contacts


  • General Counsel, Director Legal Advisory and Enforcement- to advise and clarify matters as they arise.
  • Documentation Officer/Library- to retrieve relevant material.
  • Director, Disclosure Registration and Corporate Finance- to discuss matters as they arise.
  • Directors, Heads of other Divisions and other officers of the Commission- to discuss issues arising in the course of the work of the Commission. Stakeholders, as required.



  • Office of the Attorney General, Ministry of Finance, High Court of Trinidad and Tobago Library and other relevant local and foreign institutions.


Only shortlisted candidates will be contacted

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