Senior Executive - Demat Compliance & Risk
Banking / Insurance / Financial Services
About the Employer
Job Description
The Colombo Stock Exchange (CSE) is a company limited by guarantee, incorporated under the Companies Act No. 17 of 1982 and is licensed by the Securities and Exchange Commission of Sri Lanka to operate an Exchange in Sri Lanka. The CSE facilitates pre-trade, trade and post-trade market infrastructure and a robust regulatory framework on par with global standards to facilitate the capital market operations.
SENIOR EXECUTIVE - DEMAT COMPLIANCE AND RISK
Work Location: Rajagiriya
The Central Depository Systems (CDS) is a wholly owned subsidiary of the CSE and is licensed as a Market Intermediary and Clearing House by the Securities and Exchange Commission (SEC) of Sri Lanka. You will directly contribute towards ensuring smooth functioning of the Demat operations such as Investor account openings, deposits, transfers, withdrawals and other Demat account maintenance.
Key Responsibilities:
- Attend to Daily Process Audit of Demat Services including investor account openings, deposits, transfers, withdrawals and account maintenance provided by the depository to the investors and CDS account holders.
- Assist to provide detailed, up-to-date reports to Management, Board of Directors and Depository Participants on Compliance Issues and required information.
- Assist to ensure timely submission of reports to Regulatory and Compliance.
- Assisting rule compliance tracking and submission of reports to the management.
- Monitor, follow up and report on compliance status of digital channels of CDS.
- Contribute to process enhancements and new projects of Demat Services Unit of CDS.
- Keep teams informed of regulatory updates and developments in a timely manner.
- Promote compliance awareness and deliver necessary trainings to internal and external stakeholders.
- Assist in drafting CDS rules.
- Assist in CDS Risk Management.
Key Requirements:
- A degree from a recognized university or a full/part professional qualification in Finance, Business Management, Accounting or Compliance.
- Minimum four to five years of work experience, preferably in a similar role plus audit experience.
- Knowledge of Capital Markets would be an added advantage.
- Proficiency in MS Office.
- Exceptional analytical, interpersonal, communication and leadership skills.
- A collaborative team player with the ability to multi task.
Send us your updated CV to [email protected] within 7 days of this advertisement, and let's explore the possibilities together!
We are an equal opportunity employer and invite all eligible candidates to be a part of the CSE Team.
