• 2.6.4 Onsite inspections: general roles


    desc_img

    Description of role

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

    desc_img

    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 and early warning system
    • Ability to gather 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)
    • Ability to understand a full product lifecycle for relevant capital market product suites
    • Ability to work effectively under direct supervision
    desc_img

    Qualification and/ or certification

    • QFSQF Level 3
    • CA / CPA / ACCA / CFA or equivalent qualifications would be useful
    • Relevant experience