Job Purpose
- Participate in the inspection and supervision of Fund Managers, support compliance monitoring and reporting processes, communicate regulatory findings and recommendations, review and monitor statutory returns, assist in drafting penalty and enforcement notices for non‑compliance, contribute to internal and regulatory reporting, support the resolution of complaints, and respond to enquiries from market operators and the general public in line with the Commission’s mandate.
Major Accountabilities & Responsibilities
- Contribute to the development, review, and implementation of regulatory standards and guidelines for Fund Managers.
- Assist with onsite and offsite inspections, prepare inspection reports, and communicate findings and regulatory recommendations to market operators in a timely manner.
- Monitor compliance by reviewing statutory returns and other regulatory submissions submitted by Fund Managers.
- Assist in the preparation of sanction, enforcement, and remedial action letters in respect of identified non‑compliance issues.
- Provide regulatory and administrative support to internal departments and external stakeholders of the Commission.
- Contribute inputs to the Unit’s sections of departmental and management reports.
- Support the handling and resolution of complaints relating to Fund Management activities.
- Respond to correspondence, enquiries, and requests for clarification from market operators and other stakeholders.
- Provide inputs into project management activities undertaken within the Investment Management Department, as assigned.
- Perform any other duties consistent with the scope and objectives of the role as required from time to time.
Educational Qualification and Experience
- A minimum of a First Degree in Business Administration, Finance, Economics, or relevant field from an accredited tertiary institution.
- GISI/GSE Certificate will be a strong advantage
- A minimum of four (4) years’ relevant working experience
Competencies Required
- Strong understanding and knowledge of the capital market industry, legal framework, products and services and the role of market participants
- Strong understanding of financial markets and securities industry
- Strong Computer and IT Literacy (Word, Excel, Power Point, etc.)
- Strong Analytical and review skills.
- Excellent communication skills
- Excellent presentation and facilitation skills
- Excellent interpersonal skills.
- Trustworthiness – ability to conduct self in a manner which elicits trust, respect, and confidence.
- Ability to work under pressure and meet deadlines.
- Strong ethical and professional skills.
Salary
Competitive
Monthly based
Location
Accra, Greater Accra Region, Ghana
Job Overview
Location
Accra, Greater Accra Region, Ghana