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Inspectors/Analysts x4

Securities & Exchange Commission

This is a Full-time position in Lusaka posted 04/04/2022.

Inspectors/Analysts x4 Jobs in Securities & Exchange Commission Lusaka vacancies in Lusaka at Securities & Exchange Commission

# Job Description

The Securities and Exchange Commission SEC is abody corporate established
under the repealed Securities Act, Cap. 354 of the laws of Zambia and whose
existence is continued under the new Securities Act, No. 410f 2016. SEC has
the objective of inter alia regulating and developing the Zambian Capital
Markets and is responsible for the supervision and development of the Capital
Markets in Zambia as well as the licensing of financial intermediaries,
collective investment schemes and securities exchanges, the registration of
securities to be issued such as debt and equity instruments, and the
authorization of transactions in entities registered with SEC
SEC now seeks to recruit qualified Zambians to fill the following positions:



4.2 Job Purpose:

Undertaking various supervisory duties, including processing of License
applications, financial analysis, surveillance as well as conducting onsite
and offsite Inspections of Capital Markets players with a view of maintaining
a fair, efficient and transparent market.

4.3 Key Result Areas and Accountabilities

4.3.1 Plan and conduct annual Scheduled and Adhoc inspections onsite and
offsite of capital market players and prepare reports thereof.

4.3.2 Plan and conduct investigations based on the information gathered from
inspections, complaints, market surveillance analysis, press releases and
other information sources and prepare reports to help with efficient and
effective complaints resolution.

4.3.3 Continuous Monitoring of Market Players: Analyze Information submitted
to the market players in form of returns, financial statements, auditors’
reports, etc;

4.3.4 Following up on implementation of inspection recommendations and/or
outstanding regulatory matters; and prepare analytic reports to help the
commission undertake supervisory action if necessary.

4.3.5 Financial Analysis

4.3.6 Analyze financial data and create financial models for ease of analysis.

4.3.7 Undertake detailed review of financial statements and other reports
submitted by capital market operators CMOs including financial analysis,
review of International Financial Reporting Standards Complianceby CMOs and
their auditors.

4.3.8 Undertake detailed reviews of monthly and quarterly returns submitted by

4.3.9 Evaluate financial performance and financial soundness by comparing and
analyzing actual results and financial position with plans and forecasts, as
well as statutory capital adequacy provisions

4.3.10 Analyze past results, perform variance analysis, identify trends, and
make recommendations for improvements.

4.3.11 Perform market research, data mining, business intelligence, and
valuation comparisons

4.3.12 Perform financialforecasting, reporting, and operational metrics

4.3.13 Prepare detailed reports to cover findings from the analyses undertaken
and recommendations.

4.3.14 Produce statistical reports for presentation to of the SEC
and circulation to members of the publicas appropriate.

4.3.15 Assist with licensing of capital market players by receiving and
reviewing license applications for completeness, ensure background checks are
done, ensure dispatch oflicenses is done and following up on conditional

4.3.17 Prepare draft letters/reports and make recommendations to management
based on the information gathered throughinspections and prepare reports on
investigations, exceptions, and other reports for management.

4.3.18 Assist with duties as may be assigned by management and provide any
other information requested for by management ona timely basis.

4.4 Required Competencies/Personal qualities:

4.4.1 Working knowledge of audit working practices and auditing standards eg,
IIA Standards or ISAs.

4.4.2 Knowledge of advanced financial reporting and International Financial
Reporting Standards.

4.4.3 Knowledge of risk management and compliance practices in financial
services sector is added advantage.

4.4.4 Sound general accounting knowledge with budgeting and financial analysis

4.4.5 Strong research, data collection and analytical skills, attention to
detail, and comfort developing and analyzing financial models familiarity
with data query data management tools e.g., Access, Access, SQL, Business
Objects added plus

4.4.6 Advanced Excel skills and working knowledge of other MS Office Suite

4.4.7 Strong report writing and presentation skills

4.4.8 Effective and strong verbal and written communication

4.4.9 Experience using accounting software.

4.4.10 Comfortable working both independently and as part ofateam

4.4.11 Ability to work independently and adjust quickly to change in a fast-
paced environment.

4.4.12 Good project and time management skills.

4.4.13 Team player

4.4.14 Highly organized and detail oriented.

4.5 Qualifications – Minimum Academic/Professional Qualifications

–>ACCA/CIMA ZICA Other professional qualifications e.g., CFA, Forensics are an added advantage
–>Grade Twelve Certificate
–>Member of the Zambia Institute of Chartered Accountants ZICA

4.6 Experience;

4.6.1 2-3 working experiences experience working in audit would be an added
advantage and Experience in capital markets or financial services would be an
added advantage

Apply Online Now

Applications accompanied by copies of certificates, detailed curriculum vitae
CV, and daytime contact telephone numbers and three 3 traceable references
should reach the undersigned not later than **14th April 2022** , the envelope
indicating the relevant position applied for

The Chief Executive Officer

Securities & Exchange Commission

Plot 3827 Parliament Road, Olympia

P.O.Box 35165


Inspectors/Analysts x4 Jobs in Securities & Exchange Commission Lusaka vacancies in Lusaka at Securities & Exchange Commission

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