Senior Securities Registration & Reporting Officer I
Scraped from: Ethiojobs
Statement of the Purpose The job holder is responsible for managing security-related registration processes and reporting activities; and focuses on ensuring compliance, accuracy, and transparency in securities registration and disclosures. What We Do Ethiopian Capital Market Authority is established by Capital Market Proclamation No 1248/2021 as an autonomous Federal Regulatory Authority. One of the major objectives of ECMA is to ensure the existence of a capital market environment in which securities can be issued and traded in an orderly, fair, and efficient manner. ECMA, as a regulatory authority, grants licenses to any person to operate as a security exchange, derivative exchange, security depository and clearing company, capital market service provider, over-the-counter trading facility, or any other activity deemed by ECMA as a regulated activity under its jurisdiction. ECMA regulates and oversees trading in primary and secondary markets of securities, the use of electronic trading platforms that deal with securities and gives recognition and oversees the activities of self-regulatory organizations. Specific Duties and Responsibilities: • Oversee the registration process for securities offered in the capital markets, including stocks, bonds, and other financial instruments • Review security registration applications for completeness, accuracy, and compliance with regulatory requirements • Ensure that securities being registered meet regulatory standards, disclosure obligations, and relevant legal frameworks • Maintain well-organized records of security registration applications, approvals, and supporting documentation • Interact with issuers and market participants to facilitate the security registration process, address inquiries, and provide updates • Prepare accurate and timely reports on registered securities, disclosures, and other relevant information for regulatory oversight • Collaborate with internal teams, legal advisors, issuers, and regulatory authorities to facilitate security registration and reporting • Ensure that issuers adhere to disclosure requirements, providing investors with accurate and transparent information • Conduct due diligence on securities to verify their legitimacy, integrity, and alignment with market regulations • Implement quality control measures to ensure accurate, consistent, and compliant security registration and reporting • Manage timelines for processing security registration applications, disclosures, and regulatory reporting • Identify opportunities to streamline and enhance security registration processes, improving efficiency and accuracy • Monitor ongoing compliance of registered securities with regulatory standards, taking corrective actions when necessary • Assess potential risks related to security registration and reporting, implementing measures to mitigate them • Professional roles in accounting, auditing, and financial report preparation, especially roles related to IFRS compliance and corporate financial statements. • Reviewing financial documents for regulatory compliance • Risk assessment in financial institutions or other organizations • Advising investors in financial decisions • Receiving, reviewing, and processing applications and data, with a strong emphasis on regulatory compliance, • Company due diligence and documentation management. • Performs related works as required