Overall Purpose

Ensure compliance by Market Participants and Listed Companies with the Rules and Regulations of the NSE and CMA; conduct periodic financial analysis of Listed Companies and Market Participants and ensure the maintenance of a fair and transparent market through continuous monitoring of Market Participants and Listed Companies

Key Duties and Responsibilities

• Analyzing and reviewing the quarterly, interim and annual financial reports of Listed Companies and Trading Participants for compliance with the Capital Market regulations, guidelines, and the NSE rules;
• Reviewing the applications to list on the official list of the Exchange for completeness and compliance with the CMA and NSE rules and regulations;
• Carrying out an independent review of the valuation reports of companies intending to list on the Exchange to ensure the correctness of the valuation and basis of the proposed listing prices;
• Reviewing sustainability reports of listed companies and preparing periodic reports thereof;
• Reviewing applications for admission of Market Participants and preparing management reports thereof;
• Engaging with compliance officers of market participants from time to time to guide on matters of capital markets compliance;
• Carrying out onsite and offsite inspections on Market Participants to assess their compliance with the Capital Markets regulations and the NSE rules and maintenance of the compliance tracker to ensure closure of non-compliance issues;
• Maintaining investor complaint register that ensures investigation, tracking, and eventual closure of issues raised;
• Tracking the financial health of Trading Participants by monitoring their monthly capital adequacy returns;
• Maintaining the monthly investor returns by Listed Companies and ensuring compliance with submission timelines according to the CMA and NSE rules and regulations;
• Develop training material on compliance and conduct training to market participants on the same;
• Contribute to real-time market surveillance and provide analytical insights to support decision-making;
• Conduct risk modelling and perform stress testing to assess market resilience and identify potential vulnerabilities in trading systems and participant behaviour;
• Develop, calibrate, and validate risk models;
• Meet all Key Performance Indicators assigned to this role as outlined in the Company’s strategy, strategic objectives and balanced score card; and
• Perform any other duties as may be assigned from time to time.

Minimum Qualifications

• Bachelor’s degree in Finance, Commerce, Mathematics, Statistics, Actuarial Science Business Management, Business Studies, Economics, Law or equivalent from a relevant field.
• Minimum two (2) years of relevant work experience.
• Experience in the capital markets will be an added advantage.
• Membership to a professional body such as ICPAK, or LSK.
• Possession of professional qualifications such as CPA, CISI, CFA, or FA will be an added advantage.

Key Competencies

• Demonstrate knowledge and understanding of legal/ regulatory framework of the Capital Markets.
• Strong background in data analytics and financial modeling, with ability to design, implement, and validate models for compliance, risk, and market surveillance.
• Proficiency in data tools and programming languages:
• Python, R, SQL (for data manipulation, automation, and statistical modeling).
• Advanced use of Excel (including VBA) for financial and regulatory reporting.
• Knowledge of visualization and BI tools such as Power BI for dashboards and compliance/risk reporting.
• Familiarity with machine learning techniques for anomaly detection and predictive analytics.
• Working knowledge of Automated Trading Systems.
• Strong ethics with the ability to manage confidential data.
• Conflict resolution skills.
• Time management skills.