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Officer, Market Surveillance Department

Date Posted
30th November 2017
Accounting & Finance, Banking & Financial Services
Job Type
Not Disclosed

Job Summary

This position reports to the Manager of the Department and is responsible for offsite surveillance of registered firms, investment fund administrators, public issuers and financial and corporate service providers.

Job Description

The responsible Officer must monitor the activities of market participants for compliance with laws, regulations, guidelines and international best practices; and assess on an ongoing basis their solvency and risk levels by examining and analyzing all aspects of their affairs.


Principal Responsibilities

  • Develop guidelines to facilitate regulatory compliance including the interpretation of laws, rules and policies to aid management decisions.
  • Prepare concise and accurate papers and/or reports designed to monitor and evaluate various risks and compliance with enacted legislation and guidelines.
  • Review and analyze interim, audited financial statements and annual reports for compliance with regulatory capital requirements.
  • Review reports of material change notification for compliance with laws, regulations, guidelines and best practice.
  • Elevate issues and identify gaps in Securities laws stemming from surveillance activities.
  • Monitor the compliance of the BISX with the ongoing conduct of business in adherence to the BISX Rules and the Delegated Authority Protocol.
  • Oversee compliance of public issuers as regards obligations under securities legislation and the BISX rules.
  • Conduct ongoing surveillance of public companies trading activities.
  • Liaising with the BISX, BCSD and public issuers.



  • Strong technical knowledge of industry and products; including accounting and risk management frameworks.
  • Knowledge of financial services legislation (e.g. Securities Industry Act, 2011 and Investment Funds Act, 2003)
  • Must possess the following:
    • strong communication skills (oral and written)
    • strong analytical skills
    • strong organizational skills
    • microsoft office suite
    • strong time management skills
    • strong decision making skills
    • Be able to work independently



  • Bachelors/Masters Degree – Finance, Accounting, Economics, Business Admin, or equivalent.
  • Chartered Financial Analyst (Level 1) would be an asset.
  • Strong knowledge of capital markets, products, legislation and regulatory environment.
  • 2-3 years’ industry experience


Compensation and Benefits

  • Competitive salaries and benefits offered


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