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Financial Research Officer – DRCF

Date Posted
17th May 2017
Accounting & Finance, Banking & Financial Services
Job Type
Port of Spain
Not Disclosed

Job Summary

The Trinidad and Tobago Securities and Exchange Commission invites applications to fill one (1) permanent position of Financial Research Officer in the Disclosure, Registration & Corporate Finance Division.

Job Description

A. Job Summary

The incumbent is required to evaluate the applications for the registration of all actors to be licensed under the Securities Act, 2012, review financial statements and other disclosure documents and provide research support for the department.


B. Responsibilities/Accountabilities

  • Reviews and analyses applications for the registration of market participants and securities to assess compliance with the provisions of the securities legislation, guidelines, and policies;
  • Advises and makes recommendations on applications for registration of market participants and securities;
  • Maintains the integrity of the division’s repository of registrant and securities information;
  • Reviews, analyses, monitors and tracks financial statement submissions of market participants;
  • Develops, undertakes and collaborates on research projects on, registration and disclosure matters to inform the decision making process of the division;
  • Contributes to the development and creation of regulations, guidelines, and legislation aimed at facilitating the orderly growth, development and operation of the local securities market;
  • Responds to requests from internal and external stakeholders for information and/or guidance on registration and disclosure matters related to market participants; and
  • Performs other related duties as required.


C. Minimum Qualifications and Experience

  • Bachelor’s Degree in Finance/Accounting or related field.
  • A minimum of 2 years’ experience in a finance environment.
  • Any other equivalent combination of education, training and experience.


D. Competencies

Technical Competencies:

  • Knowledge of generally  accepted  accounting principles, standards and procedures
  • Knowledge of financial markets and instruments
  • Understanding of audit principles and procedures
  • Clear understanding of the Securities Act, 2012, Companies Act in Trinidad and Tobago and other jurisdictions.
  • Research skills
  • Written and oral communication skills.
  • Competent in Microsoft Office Suite including database search skills


Behavioural Competencies:

  • Integrity
  • Teamwork / Cooperation
  • Initiative / Drive
  • Customer Orientation
  • Achievement Orientation
  • Strategic Understanding
  • Analytical Thinking
  • Interpersonal Understanding


E.  Key Contacts

  • Internal: Director and staff of DR&CF, Division of Legal, Advisory and Enforcement, Division of Market Regulation and Surveillance, Records Management Unit, Division of Compliance and Inspection and Division of Policy Research and Planning.
  • External:   As required


Please be advised that unsuitable applicants will not be shortlisted

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