Inspections & Examination Manager
Nigerian Stock Exchange
Lagos
12d 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 : Broker Dealers Regulation

    Report to : Head, Broker Dealer Regulation

    Grade : Inspect. & Exam. Manager

    Estimated Date Of Resumption : Sunday, July 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 thorough understanding of the Nigerian capital market rules and regulations, broad inspections and examinations or audit experience, as well as a strong analytical background, including stellar academic credentials.

    Key Responsibilities

    Responsibilities include Conduct Off- site and On-site inspections and examinations of Dealing Member Firms in line with The Exchange’s risk based supervision framework and preparing inspection reports within the stipulated timelinesOversee the Inspections and Examinations activities conducted by the UnitDevelop pre-

    examination parameters before the commencement of any examination cycleDevelop and direct the implementation of the Inspections and Examinations related plans and strategies for the UnitProvide assurance on the integrity of the Inspections and Examinations processesLiaise with relevant departments and units within the Exchange in the course of the Inspections and examinations related activitiesConduct pre-

    trade inspections of newly licensed firms to confirm that all requirements are met before clearance to commence trading can be grantedConduct pre-

    branch opening inspections to ensure that branch offices of Dealing Members meet the standards set by The ExchangeLiaise with relevant departments affected by any outcomes of inspections activitiesModelling and development of inspection report templatesPreparation and review of the inspection reports prepared by other members of the inspection teamRisk assessment of Dealing Member Firms to ensure that they satisfy the requirements of their membership of The ExchangeContinuous risk profiling of firms in line with The Exchange’s Risk based supervision frameworkReview the compliance profile of firms to ensure that they satisfy the NSE Rules and Regulations Governing Dealing MembersTrack recommendations in inspection reports and liaise with the Monitoring and Enforcement unit to follow through with enforcement actions as appropriateConduct Target examinations on Dealing Members based on market intelligence reportsInitiate and escalate disciplinary actions against defaulting firmsMaintain a comprehensive schedule of onsite and Target ExaminationsParticipate in relevant Exchange projectsAttend meetings and represent the Unit and Department at relevant for aPerform other tasks as assigned by the Unit Head or Head of the Department

    Education :

    University degree in Finance, Economics, Accounting, Banking and Finance or related fieldsMBA or Professional qualifications in Finance , ACCA, CIS etc

    Experience Required :

    Minimum of 6 years work experience in any of the Big 4 Audit firms, or in a financial sector regulator or as a CBN certified Bank ExaminerSound knowledge of IFRS, securities laws, rules and regulations, corporate governance codes / principles etcAbility to work on own initiativeMust be able to build strong partnerships and relate with a wide variety of stakeholders including senior management

    Personal Qualities :

    Transformative mind set, visionary and goal oriented, team player, enthusiasm to acquire and share knowledge, self-disciplined, self-starter etc

    Competency and Skill Requirements

    The candidate must have :

  • Excellent knowledge of stockbroking operationsAbility to manage confidential and sensitive informationResourceful and proactive working styleDemonstrate professional maturity and poise;
  • ability to manage situations and peopleStrong verbal and written communication skills; strict attention to detailExcellent time management, ability to multi-

    task and turnaround deliverables quicklyStrong numerical and analytical skillsDrive and enthusiasm in getting things doneAbility to generate trust and respect from staff and external stakeholdersAbility to work on own initiativeAbility to manage challenging situations and key stakeholdersForensic auditing skillsAbility to manage conflicting and changing prioritiesAbility to work as part of a teamExcellent presentation skillsProficiency in computer applications (word, excel, power point, visio etc.

    to at least Intermediate level

    Functional Competencies :

    Analytical ThinkingInvestigationStakeholder ManagementMicrosoft Office Packages

    Behavioural Competencies :

    AccountabilityAttention to DetailBusiness Environmental AwarenessEffective Communication Skills (Written & Oral)InitiativeIntegrityInter-Personal Relations

    Division : Regulation

    Department : Broker Dealers Regulation Department

    Report to : Head, Broker Dealer Regulation

    Grade : IT Auditor Inspections

    Estimated Date of Resumption : July 1, 2018

    Job Summary

    The icumbent would be required to have a thorough understanding of information Technology Infrastructures, automated information processing systems, related non automated processes and the interfaces between them in order to determine the risks that are relevant to information assets, and assess and evaluate controls in order to reduce or mitigate these risks.

    Key Responsibilities

    Develop and implement a robust and effective IT Audit program for the Dealing member community. Conduct off- site and on-

    site IT inspections and examinations of Dealing Member Firms in line with The Exchange’s risk based supervision framework.

    Review and ensure that access control strategy aligns with Dealing Member Firms corporate identity policies and IT architecture.

    Review and ensure that a unique identity is used to initiate trade transactions and ensure that users are authorized to perform such actions.

    Violation monitoring - ensure that access violations are promptly identified and escalated. Review of password settings.

    Review of user creation and access modifications.Review of IP address to ensure that Broker systems match their Order Management Systems.

    Review to ensure continuous operations of business applications in the event of fire, terrorist attacks, extended power failures, equipment and telecommunication failuresReview appropriately identified risks focused on Dealing Member Firms processes and potential risks that affect the continuity of IT operations and services.

    Audit of IT GovernanceSystem functionality reviews. Review of disaster recovery plans of Dealing Member Firms and ensure they are robust enough to withstand major disruptions to information systems.

    Perform audits of Dealing Member Firms Order Management Systems (OMS) functionality, and compatibility with the NSE requirements.

    Review of change management processes of Dealing Member Firms ensuring compliance to change management procedures. Assess the control risks associated with change requests of changes in IT infrastructure and applications.

    Liaise with relevant departments affected by any outcomes of inspection activities. Conduct IT risk assessments of Dealing Member Firms to ensure that they satisfy the requirements of The Exchange.

    Continuous risk profiling of firms in line with The Exchange’s Risk based supervision framework. Other Reviews Server Operating Systems Review.

    Network Operating Systems Review. Review of Technology Governance and Operations. Information Security Reviews. Ensure Server room adherence to best practices.

    Ensure adherence to Disaster Recovery / Business Continuity Principles. Ensure Penetration Testing. Review IT Policies and Procedures, and generate gap analysis as appropriate.

    Ensure proper monitoring of IT Operations (Backup & Recovery, Job scheduling, Problem and Incident Management)Inspections & Examinations Reporting Maintain a comprehensive schedule / work papers of all IT onsite and target examinations.

    Evaluate the sufficiency and appropriateness of audit evidence to support conclusions drawn. Prepare IT inspection reports and present to the Unit Head and Head of Department.

    Monitor compliance with reporting requirements. Follow-up and report on implementation of IT Inspection report recommendations.

    Manage internal and external relationships with stakeholders. Participate in relevant Exchange projects. Perform other tasks as assigned

    Qualifications and Experience

    Minimum of 6 years work experience in the financial sector and a strong understanding of capital market operations especially stockbroking activities.

    Adequate knowledge of securities laws, rules and regulations and corporate governance principles and codes.Ability to work on own initiative.

    Functional Competencies :

    Analytical ThinkingBusiness Process AuditClient Relationship ManagementData Gathering and AnalysisDatabase AdministrationDesktop Engineering and SupportInformation SecurityInformation Systems AuditInformation Technology Policy and PlanningInvestigationNetwork and Telecommunications TechnologyMicrosoft Office Packages

    Behavioural Competencies :

  • Attention to DetailEffective Communication Skills (Written & Oral)IntegrityLeadershipTeam Work (adsbygoogle ).push( );
  • Division : Regulation

    Department : Executive Assistant to the Executive Director of Regulation

    Report to : Head, Broker Dealer Regulation

    Grade : EA, GC Head-Regulation

    Estimated Date Of Resumption : Sunday, July 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. This position resides in the Office of the Head of the Regulation Division.

    The role includes responsibility for the day-to-day management of the office of the Head of the Regulation Division of The Exchange.

    The role is also responsible for providing a high-level administrative support in the executive office by preparing reports, handling sensitive / confidential information, calendar management, and performing other clerical functions.

    Key Responsibilities

    Manage and maintain schedules, including meeting scheduling and conferencing, making appointments, and dealing with changes to appointments for the Executive Director, (ED) Regulation.

    Receive and interact with stakeholders, groups or individuals calling on the ED’s office when appropriate.Proffer solution to routine problems, document complaints and provide appropriate direction.

    Prepare letters, reports, collect and analyze information; and prepare presentations.Draft responses to routine memos, letters, or correspondence.

    Receive, sort, record and distribute correspondences in a timely and efficient manner.Read and analyze correspondences to determine significance in the absence of the ED to ensure timely routing to appropriate personnel.

    Manage electronic mails, review, forward and bring up to the attention of the of ED as appropriate Maintain efficient record management system, electronic and manual, that provides timely retrieval of information.

    Maintain and recommend changes to records system when appropriate. Plan and coordinate meetings, attend meetings, prepare minutes, draw up and follow up on action plan Assist to keep track of deliverables arising from projects / tasks in the executive’s office.

    Work with the ED to prepare for business travels and meetings.Liaise with Protocol to ensure all flights, hotel accommodation are arranged timely for all local and international trips.

    Maintain inventory and office supplies.Anticipate office needs.Ensure smooth operation of office equipment, order maintenance when necessary.

    Troubleshoot malfunction of office equipment and escalate when necessary.Delegate tasks and responsibilities to other staff members when appropriate and supervise other ad hoc staff in the office of the ED.

    Maintain and manage Outlook Contact List, ensuring regular update as appropriate. Assist to prepare yearly budget for office of the ED, Regulation.

    Serve as the go-to for business inquiries in the office of the ED, Regulation.

    Qualifications and Experience

    To successfully deliver the above goals, the right candidate must have : HND / Degree in Management or Administration related fields Minimum of 5 years Post qualification experience in executive support role Membership of professional body is an advantage , including Word, Excel, PowerPoint and Outlook.

    Functional Competencies :

    Company Secretarial SkillsAnalytical ThinkingBudgetingClient Relationship ManagementDocuments / Records ManagementInformation ManagementPeople ManagementProject ManagementResearch and AnalysisMicrosoft Office Packages.

    Behavioural Competencies :

    AccountabilityAttention to DetailBusiness Environmental AwarenessCollaborationCustomer ServiceEffective Communication Skills (Written & Oral)Emotional IntelligenceIntegrityInter-

    Personal RelationsProblem SolvingProfessionalismTime Management.

    Method of Application

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