RECRUITMENT- NASD OTC MARKET

NASD provides a virtual trading platform where all classes of publicly tradable investment instruments can be exchanged. Our aim is to create liquidity for the investor by giving them a transparent and efficient environment in which their representatives can interact in an orderly manner
We are currently recruiting for resourceful and energetic people to work in the following roles;

 
Job Title 1 Internal Auditor/Risk Manger
Job Reference Code NASDR001
Reports to CEO/Audit Committee

Grade band Senior Management level
Business Purpose/Objective Evaluate and improve the effectiveness of governance, risk management and control processes for all NASD internal and external Business units and interests.
Core Working Relationships Internal clients and External Clients, Board Committees
Responsibilities
• Develop and implement strategies for comprehensive risk reduction on processes, products and projects
• Maintain up-to-date awareness of regulatory and policy changes relevant to NASD operations
• Evaluate and mitigate inherent risks relevant to the business of NASD
• Plan and manage annual audit plan including risk control evaluation, testing, audit scope, audit report, follow- up and verification of audit exceptions closure
• Manage multiple audit projects
• Consistently meet deadlines and delivery of quality audit work in line with Internal Audit’s and professional standards
• Provide support for strategic planning and risk management process
• Act as principal point of contact for external regulators and auditors
• Establish strategic relationships and communication with external regulators and auditors.
• Develop and manage the overall operational risk management procedure
• Manage organisational process changes
• Coordinate, influence and manage the execution of the audit plan which includes risk and control evaluation, writing clear and concise findings and recommendation
• Track implementation of recommended processes designed to strengthen internal controls
• Participate in major business initiatives and actively assist Executive management on change initiatives.
• Conduct periodic monitoring of risk areas to identify emerging risks and trends
• Periodic reporting of continuous business monitoring including risks, strengths and viability of control structures within NASD business operations to Board Audit Committee
• Investigate reported occurrences of fraud, embezzlement, theft, waste, etc.
Skills requirements for the job • Solid report writing skills
• In-depth understanding on how internal audit integrates within overall organisation to contribute to achieving business objectives
• Relevant diversified and global experience in capital markets industry
• Knowledge of Securities industry regulations
• Ability to manage, coach and develop audit team
• Excellent communication and managerial skills especially in delivering difficult messages to Executive Board & Management and to determine appropriate reporting and escalation as required
• In-depth knowledge of auditing techniques including risk assessment, audit scoping and devising audit approach


QUALIFICATION REQUIREMENTS
• Minimum of BA/BSC in Accounting or related discipline
• 7 or more years of relevant industry/audit experience
• A relevant Professional Certification is required (CIA, ACCA, ACA)
• Proficient use of Ms Office- Excel, Word, Power point and Access

 
Job Title 4 Surveillance Officer
Job Reference Code: NASDR002
Reports to Head, Market Operations
Grade band Officer
Business Purpose/Objectives • To monitor trading activity in the NASD OTC market in order to detect market conditions, positions or transactions that may be potentially disruptive or have adverse effect on the integrity, performance and orderly execution of exchanges.
• Ensure orderly markets where buyers and sellers are willing to participate because they feel confident in the fairness, transparency and accuracy of transactions.

Core Working Relationships Staff, PIs, and Regulatory Bodies,
Responsibilities • Continuous monitoring of trading activities, enforcing mandated trading rules and regulations of the market
• Daily surveillance review of NASD/ SEC regulations involving transaction monitoring.
• Identify and mitigate situations that may adversely impact the integrity of NASD OTC markets
• Promptly investigate and communicate issues arising from trade surveillance and monitoring activities
• Maintain and monitor a database of remedial actions/recommendations arising from Trade surveillance
• Develop policy and procedure for the implementation of upcoming rules and regulations.
• Partnering with Compliance unit as required to resolve surveillance exceptions
• Track company news, stock charts, chat room activity and other sources to identify potential insider trading violations
• Reviewing surveillance systems to ensure they are operating efficiently and effectively
• Analyse monitoring processes and recommend improvements to report, display trends patterns and areas of risk

Educational, Skills & Work experience requirements for the job • Excellent analytical and problem solving skills
• Strong oral and written communication skills
• Experience with working with trading data and systems
• Strong detail orientation
• Excellent understanding of conduct of business and market abuse rules in the capital market
• Ability and willingness to accept accountability, demonstrate initiative and work with minimal supervision
• Results oriented
• Ability to work in a fast- paced environment with minimal supervision
Requirements
• Bachelor's degree
• 3-6 years of experience in Capital Markets preferably in market surveillance, Regulatory or Compliance
• Knowledge of anti-money laundering related requirements and regulations in the Capital Market
• Capital Market products and transaction knowledge
Job Title 5 HEAD, PRODUCT & MARKET DEVELOPMENT
Job Reference Code NASDR003
Reports to Managing Director
Grade band Senior Management level
Business Purpose/Objective To conceptualise and manage the development of OTC market products

Core Working Relationships Core Relationship with Market operators: SEC, CSCS, Participating Institutions
Process Responsibilities • Research and evaluate emerging evolving global trends on capital markets products and services
• Provide technical and logistical framework on new products research, design, launch, monitoring and evaluation
• Develop and implement policies, procedures, methodologies and quality standards for introducing new products and services into NASD OTC market
• Develop and implement value added product and market development initiatives
• Establish and develop strategic relationships with client companies and other external stakeholders for a desirable OTC market
• Analyse and recommend potential partner relationships for product development
• Conduct due diligence on companies covered by NASD and convert analysis outcomes into revenue streams
• Provide support in developing financial models
• Draft and negotiate transactions for new products and markets
Skill requirements for the job • Ability to analyse economic and capital market trends
• Knowledge of local and international regulatory framework in relation to product and services development
• Strong innovative drive that can be translated into new products and services for NASD OTC market
• Superior writing, editing, public speaking and presentation skills to be able to succinctly describe complex financial structures and products
• Excellent interpersonal and cross cultural skills including ability to build alliances and collaborative relationships with sensitivity to diversity
• Unquestionable ethics, transparency and professionalism
• Quick and sound decision making skills
• Proficiency in MS Office applications and an ability to learn our proprietary software
• Project management skills

Requirements
• Undergraduate degrees in a Business, Finance related disciplines
• Additional professional certifications such as ACS, CFA or an MBA are a strong plus
• Demonstrable experience in structuring secondary markets instruments.
• At least 7 years in financial investment, consultative selling.


Job Title Research Analyst
Reports to Operations Manager

Grade band Analyst
Business Purpose/Objective To develop market reports and analyse key areas that assist in market operations

Core Working Relationships Core Relationships with clients and CSCS NSE and Settlement Banks
Responsibilities • To collate market data for sound decision making.

• To Undertake Research work and analyze key information on all issues related to OTC market and capital Market

• To contribute to Strategy and Operational objective of NASD’s services

• To maintain and constantly maintain database for non-listed companies.
• To prepare pitch document on NASD (Article, Power Point Presentation, and Brochure)

• To render market report to regulatory authority (SEC) on daily, weekly, monthly and quarterly basis

Skills requirements for the job • Strong ability to analyse industries and companies, economies, or fixed-income securities,
• Strong quantitative skills.
• Strong work ethic, a collaborative nature and the ability to work well under pressure.
• Good written and communicative skills

Requirements
• Undergraduate degrees in a Business, Finance related disciplines
• Additional professional certifications such as ACS, CFA or an MBA are a strong plus
• Demonstrable experience in research and analysis.
• At least 1 year in financial services/investment or capital market industry.

If you meet the requirements above and desire to be part of a dynamic team, please send a detailed resume to recruitment@nasdng.com quoting Job Reference Code.

NASD is an equal opportunity employer. Only qualified applicants who meet stated specifications will be shortlisted for the next stage of recruitment.

Hello.
please i would like to join your organisation. i do not meet the requirement of Internal Auditor/Risk Manager but i will be very glad if an opportunity is given to me to be part of your Account dept. or Audit team. My mobile is 08060116716. I am open to discussion or question.
Thank you