The Senior Analyst is responsible for conducting a full range of supervisory and monitoring functions over the work of the Division. In addition, the Senior Analyst provides guidance and oversees the work of a team of Analysts to achieve the legislative requirements and the goals and objectives of the Division and CIMA. [At the Senior Analyst II level, with more exposure to complex workflows, there is a higher level of accountability and decision-making and the expectation that there is a larger team of analysts to supervise, to develop and to provide leadership for]. RESPONSIBILITIES: The successful candidate will: • Oversee the registration process of Registered Persons and directors; • Prepare or supervise the preparation of Enforcement Memos for regulatory action on problem entities that are of material concern and/or have severe regulatory breaches; • Oversee the investigation of industry complaints and discrepancies; • Process new licence applications and draft the submissions to the Management Committee; • Process new Registered Person applications; • Ensure ongoing maintenance of registrant and licensee records; • Conduct timely reviews and sign-off on termination/deregistration files; • Assess and participate in the risk-rating of entities in accordance with CIMA’s internal risk weighting criteria and/or Division’s risk methodology; • Follow-up with the relevant service providers to ensure that deficiencies and/or ambiguities in the registration application are resolved; • Respond to Overseas Regulatory Authority requests and industry enquiries to ensure compliance with international standards, Memorandum of Understanding (MOU) mandates, and CIMA’s principal functions; • Analyze quarterly and annual returns and financial statements to identify any potential operational, financial and compliance issues; • Conduct financial reviews of more complex registrants and licensees; • Make presentations for training or educational purposes; and • Participate in the production of statistical information in relation to the industry. GENERAL REQUIREMENTS: • Excellent written and oral communication skills. • Specific knowledge of current international regulatory practices; and • Proficiency in Microsoft Office applications, especially MS Excel, Word and PowerPoint. • Specific knowledge of auditing and accounting principles and analytical skills to analyze the implications of financial statements as they relate to fund administrators and securities investment businesses. • Ability to provide ongoing coaching, technical advice, and guidance to assist Analysts in performing their duties optimally; and • Reviews and supervises the work prepared by Analysts to ensure compliance with all policies, procedures and guidelines. QUALIFICATIONS AND EXPERIENCE: Senior Analyst I • A Bachelor’s degree from an accredited institution – preference given to degrees in Finance, Accounting, Business Administration, Mathematics or Economics and/or five (5) years’ experience in a relevant position in the financial industry; and three (3) years regulatory experience. • A securities investment business or professional certification/designation such as ACCA, CPA, CFA, CFE, LLB would be beneficial. • Specific knowledge of the Securities Investment Business Act (2020 Revision), regulations, relevant rules, guidance, policies and procedures relating to the supervision of securities investment businesses. Salary Scale: CI$74,218 - $90,018 per annum Senior Analyst II • A Bachelor’s degree from an accredited institution – preference given to degrees in Finance, Accounting, Business Administration or Economics and/or five (5) years’ experience in a relevant position in the financial industry; and four (4) years regulatory experience, with two (2) years supervisory experience. • A professional qualification related to accounting or investments would be an asset. • Specific knowledge of the Mutual Funds Act, regulations, relevant rules, guidance, policies and procedures relating to the supervision of Mutual Funds and Mutual Fund Administrators. Salary Scale: CI$74,218 - $90,018 per annum