Jobs at Securities and Exchange Commission

Job Purpose:

• Provide leadership by ensuring that the Market Operators comply with all Anti-Money Laundering/ Countering Financing Terrorism Laws, Rules and Regulations, Policies and Procedures

Some Key Accountabilities & Responsibilities:

• Develop and implement annual, quarterly and monthly AML/CFT plans
• Design and analyse AML/CFT Returns submitted by the Market Operators (MOs) to the Commission
• Implement AML/CFT Guidelines and Administrative Sanctions.
• Design and organise training programmes for staff of the Supervisory Departments of the Commission and MOs.
• Carry out AML/CFT on-sites inspection and snap check on the MOs.
• Update AML/CFT and other relevant documentations periodically.
• Prepare and submit report (monthly, quarterly and annually) to the Head, Audit and Risk Management etc

Qualification Required & Experience

Educational, Professional Qualification and Experience

• A minimum of a Masters Degree in Accounting, Finance, Economics. Statistics or any other relevant field from an accredited tertiary
• Must be a member of Compliance Association such as Association of Certified Anti-Money Laundering Specialist Examination (ACAMS) cr Certificate in a Professional AML/CFT and be in good standing
• A minimum of nine (9) years post-Bachelor s degree relevant work experience, 2 of which must be in a similar position in a reputable organisation

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Job Purpose:

To perform audit and risk management duties by professionally evaluating the activities of the Commission to ensure systems of internal controls provide reasonable assurance to Management and identify areas of risks and reduce them to the barest minimum

Some Key Accountabilities & Responsibilities:

Internal Audit Duties:

• Develop and prepare annual, quarterly and monthly audit plans.
• Audit of transactions.
• Review and report on internal controls.
• Prepare and present Audit reports to
• Management, Audit Committee and Internal Audit Agency

Risk Management Duties

• Undertake risk assessment for the Commission.
• Develop and manage the Commission’s Risk Register
• Prepare and submit report (monthly, quarterly and annually) to the Head, Audit and Risk Management etc
• Develop and prepare annual and quarterly risk management plans.

Qualification Required & Experience

Educational, Professional Qualification and Experience

• A minimum of a Master’s Degree in Accounting or any other relevant field from an accredited tertiary institution.
• Must be a member of ICA, ACCA, CIMA or any other relevant professional body and in good standing.
• A minimum of twelve (12) years post-Bachelor’s degree relevant work experience, four (4) of which must be in a similar position in a reputable organisation.