Executive – Broker Supervision At Colombo Stock Exchange


Post :- Executive – Broker Supervision
Company Name:- Colombo Stock Exchange
Posting Date :- 02-04-15
Closing Date :- 09-04-15

Job Details
The opportunity awaits for a dynamic young individual to be a part of our Broker Supervision Division.The Broker Supervision Division primarily engages in determining the level of compliance by Broker Firms with the Stockbroker Rules of the CSE. The ideal candidate should have a background in Finance or Business Administration backed with strong analytical skills in order to assist in the process of effective regulation of Broker Firms through monitoring and supervision activities
Job Profile
The candidate would be responsible/accountable for:
– Conducting system audits of Broker Firms and reporting on compliance status
– Reviewing financial statements, compliance reports and other periodic submissions of the Broker Firms
– Continuous monitoring of net capital, liquidity requirements and maintenance of client funds in relation to Broker Firms
– Executing enforcement actions and follow-up on compliance by Broker Firms
– Guiding Broker Firms on compliance related matters and clarification on applicable rules
– Assisting in the process of investor dispute resolution
– Reviewing regulatory and reporting requirements of Broker Firms considering the market dynamics
Candidate Profile
– Full qualification in ICASL, CIMA or ACCA, preferably with a degree in Finance, Accounting or Business Administration
– Knowledge in Financial Accounting and Reporting
– Two years’ experience in the field of auditing
– Hands on experience in MS Office tools
– Attention to detail and good analytical skills
– Interpersonal skills and ability to work as a part of a team
– Professional approach to work driven by integrity, due care and competence
– Should possess excellent written and verbal communication skills in English
– Should be below 30 years of age
All applications should be emailed or posted to the below address within 7 days of the date of the advertisement with 2 non-related referees. Please mention the position applied for in the subject line of the e-mail or at the left corner of the envelope.
Apply Email :- careers@cse.lk

Apply Post :-
Head of Human Resources,
Colombo Stock Exchange,
Level 4, West Block,
World Trade Centre,
Echelon Square,
Colombo – 01.

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