Team Lead - Investigation, Market Surveillance at Nigerian Stock Exchange

Division: Regulation
Department: Market Surveillance & Investigation Department
Report to: Head, Market Surveillance Department
Grade: Assistant Manager - Deputy Manager
Estimated Date Of Resumption: Tuesday, October 2, 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.
• The Nigerian Stock Exchange continues to evolve to meet the needs of its valued customers, and to achieve the highest level of competitiveness. It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.
• The Investigations Team Lead will be required to develop and implement operational strategies for the Investigation Unit as well as foster and maintain strategic relationships with market participants for the purpose of informal enquiries related to investigations.
• The incumbent will report to the Head, Market Surveillance at the Corporate Head Office in Lagos.

Key Responsibilities

• Develop and implement investigation policies and procedures
• Oversee the activities of personnel in the Investigation Unit
• Identify issues with internal/operational processes and recommend necessary solutions
• Provide assurance on integrity of investigations processes and procedures
• Receipt and execution of Investigation Referrals
• Determine scope and scale of required investigations
• Assignment of cases to investigation teams
• Liaising with internal stakeholders and external parties during the course of investigations
• Review outcome of investigations activities for evidence of complicity of parties
• Conduct interview and spot checks on Dealing Members based on market intelligence report
• Report to Department Head on outcome of investigation activities
• Provides testimony on cases at disciplinary tribunal hearings Perform other tasks and activities as directed by the Department Head
• Knowledge and Skills requirements In-depth understanding and practical knowledge of the NSE and SEC rules and regulations Working knowledge of the Capital market operations
• Understanding of the Trading rules and Market structure of the various products at The NSE
• Knowledge of investigative Methodologies, principles and techniques
• Excellent time management and multi-tasking capabilities Strong numerical and analytical skills Ability to generate trust and respect from staff and external stakeholders Proficiency in the use Microsoft Office Ability to work as part of a team

Qualifications and Experience

• Minimum of B.Sc in Accounting, Finance, Economics, Business, Law, Statistics, or related fields
• MBA or Professional qualifications in finance, i.e., ACCA, ACA, CPA, CFA, CIS will be an added advantage
• A minimum of 5 years of investigation or forensic auditing experience obtained from a reputable organisation.

Functional Competencies:

• Analytical Thinking
• Investigation
• Process Management
• Microsoft Office Packages

Behavioural Competencies:

• Accountability
• Adaptability
• Effective Communication Skills (Written & Oral)
• Integrity
• Inter-Personal Relations