Senior Officer – Market Surveillance, Bahamas

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Principal Responsibilities
– Analyze the potential impact and/or benefit of proposed regulations and rules on registrants;
– Develop guidelines to facilitate regulatory compliance of registrants;
– Design and implement risk management frameworks to assess registrants’ risk, controls, and financial position;
– Oversee, review and analysis of interim, audited financial statements and annual reports for compliance with regulatory capital requirements;
– Identify issues and identify gaps in legislation stemming from surveillance activities;
– Design and develop reports to identify market developments and trends through collection of statistical data from market participants (e.g. surveys, questionnaires);
– Provide guidance on the identification, assessment of issues related to market participants and products and make appropriate recommendations;
– Provide support to onsite surveillance in focusing their work programme on areas of high risk and weaknesses;
– Maintain regular/routine contact with market participants through prudential meetings;
– Advise stakeholders on regulatory developments and policies of the Commission;
– Assist in the implementation of IOSCO’s Objectives and Principles for Securities Regulation within the department and the broader Commission;

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