Minimum 3 years' experience in auditing with sound knowledge of financial accounting and reporting. Please refer to the job advert for further information.
The Colombo Stock Exchange (CSE) and its subsidiaries are licensed as Market Institutions by the Securities and Exchange Commission of Sri Lanka (SEC) under the SEC Act No. 19 of 2021. The CSE Group provides services to a wide array of stakeholders, including the Trading Participants, Listed Entities, Depository Participants and Clearing Members as a capital market infrastructure provider.
Specialist - Broker Supervision
Broker Supervision Division of the CSE plays a pivotal role in regulating the Trading Participants to ensure Market integrity and investor confidence. In order to achieve this objective, the Broker Supervision Division continuously monitors the Trading Participants on their level of compliance with the applicable CSE rules and other regulatory requirements.
Key Responsibilities:
- Conduct System Reviews to assess the level of compliance by Trading Participants relating to the applicable CSE Rules and Regulations.
- Execute mechanisms to detect non-compliance with Trading Participant Rules in an efficient manner.
- Monitor specific compliance related to Client Funds, Minimum Capital Requirements and Credit Rules.
- Execute enforcement action in the event of a non-compliance with Trading Participant Rules and follow up on such matters.
- Assist the process of amending Rules applicable to Trading Participants in keeping with the market dynamics stakeholder feedback.
- Provide analysis to the CSE Board of Directors on Trading Participants.
- Assist in submitting periodic reports to the Securities and Exchange Commission (SEC) and CSE Board in relation to the level of compliance of Trading Participants.
- Assist in the process of admission of new Trading Participants and evaluation of ownership changes in existing Trading Participants.
- Contribute to the strategic initiatives that may be decided by the CSE from time to time.
- Advice Trading Participants on matters relating to applicable Rules.
- Assist the Head of Broker Supervision in relation to development in relation to development of new policies and procedures to perform the operational duties of the Division.
Key Requirements:
- Member of CA, CIMA or ACCA, preferably with a degree in Finance, Accounting or Business Administration.
- A Master's degree in a relevant field will be an added advantage.
- Minimum 3 years' experience in auditing with sound knowledge of financial accounting and reporting.
- Strong analytical mindset with attention to detail.
- Excellent written and verbal communication skills.
- Confident and assertive approach.
- Effective team player with strong interpersonal skills.
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