Senior Analyst I & II – Securities Supervision Division
Reporting to the Chief Analyst within the Securities Supervision Division, the Senior Analyst I & II will be integral to the supervision and regulation of securities entities under Cmrai. This role focuses on conducting detailed off-site monitoring and on-site examinations to ensure that regulated entities operate in compliance with securities laws and regulatory standards. The Senior Analyst I & II will also play a key role in mentoring junior analysts and contributing to the strategic objectives of the division.
KEY RESPONSIBILITIES:
The selected candidate will be responsible for:
- Leading the off-site monitoring and on-site examination of regulated securities entities, with a focus on compliance, risk management, and adherence to regulatory standards;
- Analyzing financial statements, operational data, and market trends to assess the risk profiles of securities entities;
- Preparing and reviewing detailed inspection reports, ensuring they meet the highest standards of accuracy and clarity;
- Identifying regulatory issues and coordinating investigations into potential breaches, recommending appropriate corrective actions;
- Providing expert guidance to regulated entities on compliance with securities laws and regulatory requirements;
- Collaborating closely with the Chief Analyst and other senior members of the division on complex regulatory matters and strategic initiatives;
- Facilitating meetings with regulated entities, auditors, and other stakeholders to discuss findings and ensure regulatory compliance;
- Contributing to the development and refinement of supervisory manuals, guidelines, and procedures to enhance the regulatory framework;
- Mentoring and providing on-the-job training to junior analysts, fostering their development and ensuring they meet performance standards;
- Keeping abreast of emerging trends and developments in the securities industry, and applying this knowledge to enhance supervisory practices;
- Collaborating with other divisions and external regulatory bodies to ensure a coordinated approach to securities supervision;
- Compiling and analyzing data for both internal and external reports, supporting the division’s strategic objectives;
- Maintaining a comprehensive understanding of international securities standards and their application within the Cayman Islands regulatory environment.
REQUIRED QUALIFICATIONS:
- A Bachelor’s degree in Finance, Economics, Accounting, or a related field from an accredited institution;
- For Senior Analyst I: A minimum of 5 years of relevant experience in the financial services or securities industry, with at least 3 years in a supervisory or regulatory role;
- For Senior Analyst II: A minimum of 7 years of relevant experience in the financial services or securities industry, including significant supervisory or regulatory experience;
- Strong knowledge of securities products, markets, and regulatory frameworks;
- Excellent analytical and problem-solving skills, particularly in assessing risk and compliance issues;
- Proficiency in Microsoft Office applications, with advanced skills in Excel;
- Outstanding communication and presentation abilities, capable of explaining complex regulatory issues to varied audiences;
- Proven leadership and mentoring skills, with experience in managing and developing high-performing teams;
- Knowledge of the Cayman Islands regulatory environment and international securities standards is highly preferred;
- Professional qualifications such as CFA, CISI, or equivalent are strongly preferred.