• 2.4.4 Onsite inspections: general roles


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    Description of role

    Responsible for conducting examinations of licensees and ensuring production of comprehensive, timely, accurate and well-formatted reports.

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    Core technical skills

    • Knowledge of relevant laws and principles and standards of regulation and supervision
    • Knowledge of appropriate documentation and support evidence gathering for identified issues
    • Articulate concerns related to the financial institution backed by appropriate evidence
    • Knowledge of financial soundness indicators to ascertain application within the institution
    • Ability to gather and collect data relevant for evidence and analysis
    • Execution of examination activities across relevant areas of risk
    • Knowledge of relationship between specific products and inherent risk(s)
    • Demonstrable ability to understand a full product lifecycle for relevant capital market product suites
    • Ability to work effectively under direct supervision
    • Familiar with early warning systems and monitoring tools
     
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    Qualification and/ or certification

    • QFSQF Level 3
    • Relevant experience