Complaint Registry Analyst
Nigerian Stock Exchange
Lagos
3d ago
source : myJobmag
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    The Nigerian Stock Exchange , services the largest economy in Africa, and is championing the development of Africa's financial markets.

    The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services, and more.

    It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.

    Division : Regulation

    Department : Market Surveillance & Investigation Department

    Report to : Head, Market Surveillance Department

    Grade : Executive Assistant - Assistant Officer

    Estimated Date of Resumption : Friday, June 1, 2018

    Job Summary

    The Nigerian Stock Exchange (The Exchange) services the largest economy in Africa, and is championing the development of Africa’s financial markets.

    The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services and more.

    It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world. The analyst will assist in development and implementation of market surveillance plans and strategies.

    Key Responsibilities

    Assist in development and implementation of market surveillance plans and strategies. Review results of post trade analysis for unusual price movement and trading behaviour.

    Identify lapses in market and listings rules and proffer appropriate recommendations Escalate suspected market manipulation activities to Department Head.

    Escalate unusual price and trading behaviour to Department Head for review. Identify issues with internal / operational processes and recommend necessary solutions.

    Provide assurance on integrity of Market Surveillance processes. Ensure updates to market rules are implemented in the Market Surveillance UnitGather and generate Market intelligence.

    Provide testimony on cases at disciplinary proceedingsPerform other tasks and activities as directed by the Department Head

    Qualifications and Experience

    To successfully deliver the above goals, the right candidate must have : Minimum of , Economics, Statistics, Computer Science or related fieldsMBA or Professional qualifications in finance, , ACCA, ACA, CPA, CFA, CIS will be added advantageA minimum of 4 years of experience obtained from a reputable organisation.

    Functional Competencies :

    Analytical ThinkingClient Relationship ManagementData ManagementInformation ManagementNumeric Skills

    Behavioural Competencies :

    Attention to DetailTime Management

    Department : Rules and Interpretation Department

    Grade : Officer - Assistant Manager

    Estimated Date of Resumption : Friday, June 1, 2018

    Job Summary

    The Nigerian Stock Exchange services the largest economy in Africa, and is championing the development of Africa’s financial markets.

    The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services, and more.

    It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.The Exchange needs an industry professional with a strong personality, good people management skills and the ability to work as a team player to support all aspects of the rule making process.

    The individual will be required to have a thorough understanding of Exchange’s policies, overall mission and strategy, as well as a strong legal background.

    Key Responsibilities

    Drafting of new rules and regulations for the Exchange.Influencing people management, change management and team spirit.

    Cleaning up the Exchange’s rule book Writing and putting out notices to members as well as well as interpreting existing rules and answering frequently asked questions on proposed rules.

    Ensuring KPIs are met. Working with team to interpret all Exchange rules Assist Team Lead and HoR in achieving The Exchange’s objectives.

    Writing comments on proposed legislation, SEC rules, proposed rules and any other policies that affect the Exchange.

    Qualifications and Experience

    To successfully deliver the above goals, the right candidate must have :

    A law degree with 4-7 years’ experience. Strong understanding of securities laws and a good understanding of ISA 2007, SEC rules, NSE rules and CAMA.

    Must be a lawyerSound business and legal judgment with problem-solving abilities.Must be able to build strong partnerships with business and corporate staff, communicate to a wide variety of audiences in clear, understandable language, and be a skilled facilitator of group action.

    Functional Competencies :

    Analytical Thinking.

    Behavioural Competencies :

  • Attention to DetailCustomer ServiceEffective Communication Skills (Written & Oral). (adsbygoogle ).push( );
  • Division : Regulation

    Department : Broker Dealers Regulation Department

    Report to : Head, Broker Dealer Regulation

    Grade : Executive Assistant - Assistant Officer

    Estimated Date of Resumption : Friday, June 1, 2018

    Job Summary

    The Nigerian Stock Exchange ("The Exchange") services the largest economy in Africa, and is championing the development of Africa’s financial markets.

    The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services, and more.

    It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.The incumbent would be required to have a good understanding of the Nigerian capital market rules and regulations, case management experience, record keeping, including stellar academic credentials.

    Key Responsibilities

    Resolve investor complaints in line with the SEC rule relating to the complaint management framework of the Nigerian Capital Market and The NSE Rules and Regulations Governing Dealing Members.

    Prepare correspondence, reports, presentations, notices and other applications for the resolution of investors’ complaints.

    Maintain (classify, assign complaint number, cross-reference, log and store records) the data base of all complaints lodged with The Exchange (Head office and branch offices).

    Input data into computerized databases, spreadsheets or other templates.Import and / or export data between different kinds of software.

    Verify accuracy and completeness of dataScan, photocopy and collate complaints documents for distribution, mailing and filing.

    Sort and file complaints documents according to established filing systems, locate and retrieve documents from files as requested and maintain records of filed and removed materials.

    Manage information retrieval systems to research and extract complaints records according to established policy in response to internal and external requests.

    Generate weekly, quarterly, and annual reports on complaints received, resolved and unresolved.Compile statistics and reports on all activities on complaints management.

    Generate confidential report on compliance status of firms as it relates to complaints.Maintain the data base of all investors’ claims (verified, unverified, compensated) before the Investors Protection Fund (IPF) of The Exchange.

    Generate quarterly, and annual reports on investor’s claims before the IPF.Escalation of unresolved investor complaints and / or refer complaints to the appropriate unit or department.

    Provide information and analyse the trend of investor complaints.Liaise and coordinate with the Monitoring and Enforcement unit on enforcement matters.

    Track resolution of investor complaints

    Qualifications and Experience

    A minimum of Bachelor's degree in Psychology / English / Accountancy / Law / Statistics or other related discipline.A minimum of 2 years relevant’ experience.

    Knowledge of capital market laws (NSE rules, SEC rules, ISA and CAMA) and case management.Professional and other post graduate qualifications will be an added advantage.

    Functional Competencies :

    Microsoft Office Packages

    Behavioural Competencies :

    Attention to DetailEffective Communication Skills (Written & Oral)Emotional IntelligenceProblem SolvingProfessionalism

    Division : Regulation

    Department : Broker Dealers Regulation Department

    Role : Monitoring & Enforcement Compliance Officer, BDR

    Report to : Head, Broker Dealer Regulation

    Grade : Assistant Officer - Officer

    Estimated Date of Resumption : Friday, June 1, 2018

    Job Summary

    The Nigerian Stock Exchange services the largest economy in Africa, and is championing the development of Africa’s financial markets.

    The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services, and more.

    It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.The Incumbent has the responsibility of reviewing financial and regulatory reports of Dealing Members to assess their financial state of affairs on an on-going basis.

    Key Responsibilities

    Compliance : Review all periodic renditions submitted to the Exchange to ensure they comply with the regulatory reporting format approved by The Exchange.

    Review and analyze all periodic renditions from Dealing Members of The Exchange and ensure that such renditions are prepared in line with relevant accounting standards and the rules and regulations governing Dealing Members of The Exchange.

    Review the capital adequacy and financial performance of Dealing Members. Review the renditions (Quarterly returns, Audited financial statement etc.

    submitted to The Exchange and identify and escalate issues to the Unit Head. Monitor the activities of Dealing Member firms to ensure they operate within the minimum capital requirement of The Exchange and that all firms who fall below the minimum requirements are sanctioned in line with the rules.

    Set up meetings with the management of the Dealing member firms to discuss the variances / discrepancies or issues noted from the renditions submitted to The Exchange.

    Ensure that recommendations from the review of the quarterly returns and Audited Financial Statements are adhered to by the Dealing member firms.

    Conduct Spot checks and other ad-hoc inspections where necessary. Monitoring : Track and monitor the submission of renditions (quarterly returns, monthly transaction reports and Audited Financial Statements of Dealing Member Firms on or before the reporting dateTracking of all deadlines given to Dealing Member Firms : Maintaining and updating the database with all enforcement actions.

    Follow up on Dealing Member Firms with outstanding documents or unresolved issues. Follow up to ensure that documents requested by the Inspection team from the Dealing Member Firms are submitted within the time period given to them.

    Send out reminders and notifications via Blasts to members before the due date for the submission of rendition to The Exchange.

    Send frequent notifications and reminders to defaulting firms ahead of deadlinesEnforcement : Maintain a schedule and track enforcement deadlines.

    Prepare the compliance status of firms at the end of every quarter. Request management approval to carry out enforcement action on any Dealing Member Firm.

    Recommend and ensure appropriate enforcement actions are carried out against defaulting Dealing Member Firms in line with the rules and regulations governing Dealing members of The Exchange.

    Recommend appropriate enforcement actions against defaulting Dealing Member Firms in line with the rules and regulations governing Dealing members of The ExchangeInitiation of disciplinary procedures against defaulting market participants in line with The Exchange’s zero tolerance policy : Reporting Acknowledge and respond to all correspondences allocated by the Unit Head.

    Prepare the agenda for all meetings to be held with Dealing Member Firms before each meeting. Prepare periodic reports for both internal and external stakeholders.

    Prepare all memorandums and communications used to liaise with the management of The Exchange and other relevant stakeholdersOthers : Monitor the status of firms and regularly update the Broker TraX report.

    Develop and recommend changes in the rulebook of The Exchange. Periodic risk profiling of Dealing Member firms. Perform other relevant tasks as assigned by the Team Lead or Head of the Department

    Qualifications and Experience

    To successfully deliver the above goals, the right candidate must have :

    Minimum of (Second Class Upper Division) in Accounting, Finance, Economics, Statistics, or related fields. MBA or Professional qualifications in Finance , ACCA, CPA etc.

    Experience in any of the Big 4 Audit firms or as a CBN certified Bank Examiner.

    Functional Competencies :

    Numeric SkillsMicrosoft Office Packages

    Behavioural Competencies :

    AccountabilityAttention to DetailEffective Communication Skills (Written & Oral)InitiativeInter-Personal RelationsLeadershipPlanning and OrganizingProfessionalismTime Management

    Method of Application

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