Senior Investigation and Enforcement Officer II

• Developing and implementing strategic plans for investigation and enforcement activities, aligning them with the overall goals and objectives of the capital markets authority
• Overseeing complex investigations into potential violations of securities laws, regulations, and market integrity by analyzing evidence, interviewing witnesses, and collaborating with other regulatory bodies and law enforcement agencies
• Gathering and evaluating evidence to build strong cases against individuals or entities suspected of fraudulent or manipulative activities within the capital markets.
• Ensuring that all market participants adhere to relevant laws and regulations by monitoring trading activities, disclosure practices, and other market-related behaviours.
• Initiate and oversee enforcement actions against parties found in violation of securities laws including imposing fines, sanctions, trading suspensions, or legal proceedings to maintain market integrity.
• Coordinating with legal experts, external legal counsel, and other relevant authorities to ensure that investigation and enforcement actions are in accordance with legal standards
• Contributing to the development of regulatory policies and guidelines based on insights gained from investigations, in order to prevent future violations and enhance market transparency.
• Working closely with market supervision teams to identify unusual trading patterns, potential market abuse, and insider trading, and taking appropriate actions as needed.
• Identifying emerging risks and trends in the capital markets that might require proactive investigation and enforcement measures.
• Preparing and presenting comprehensive reports to senior management, the board, and other stakeholders, detailing investigation findings, enforcement actions, and their impact on the market
• Evaluate the effectiveness of investigation and enforcement processes and recommend improvements to enhance efficiency and accuracy.
• Any other related duties that may be assigned from time to time.

• Bachelors degree or above in Economics, Management, Accounting and Finance, Banking & Finance, Business Administration, or a field related to the Job function from an Accredited or recognized learning institution.
• 6 years of relevant working experience

BehavioralCompetencies/Attributes:

• Specialized technical skills
• Advanced computer skills
• Planning and organizing
• Supervisory skills
• Analytical and problem-solving
• Time management
• Interpersonal skills
• Communication
• Adaptability
• Initiative