• 2.6.7 Investigations and enforcement


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    Description of role

    Responsible for identifying, reviewing and measuring operational risk. Also responsible for identifying any risk of loss resulting from inadequate or failed internal processes, people, systems and management or from external events. 

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    Core technical skills

    • Knowledge of capital markets law, regulation and legal consequences relevant to enforcement action, resolution and recovery process
    • Knowledge of international practices in situations involving failure, problems
    • Ability to analyse the financial impact of enforcement, recovery or resolution action
    • Ability to understand impact of enforcement, recovery or resolution action on moral hazard and other risks in the financial sector
    • Knowledge of customer and investor protection issues
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    Qualification and/ or certification

    • QFSQF Level 3
    • Relevant experience