Enforcement Specialist

• BCom or LLB and CFE

• 1-3 years’ experience in capital markets and 1-3 years’ experience in complex financial and sensitive investigations

• Company culture and values
• Company policies and procedures
• Company vision and strategy
• Relevant product knowledge
• Relevant regulatory knowledge
• Principles of project management
• Basic software applications (e.g., Outlook, Word, Excel, Access, Internet, Email)
• Divisional service offerings
• Business continuity standard
• Business principles
• Data analysis
• Decision-making process
• Industry trends
• International Standards for Professional Practice
• Principles of project management
• Business terms and definitions
• Business writing
• Capacity planning
• Change management
• Client service strategies
• Communication Strategies
• Research methodology
• Resource allocation principles
• Stakeholder management
• Relevant regulatory knowledge
• Giving presentations
• Challenging the status quo with a view to improving the environment or peoples understanding
• Identifying trends
• Adapting behaviour to meet major changes at work
• Adapting to a major organisational change
• Building and maintaining effective relationships with internal and external stakeholders
• Evaluating resource allocation
• Networking and building relationships
• Establishing and maintaining collaborative relationships with peers / subordinates / managers
• Communicating complex information orally
• Communicating complex written information
• Completing a project with constraints
• Conducting a needs analysis
• Developing multiple creative solutions
• Providing professional advice/opinion

• Partner for a sustainable marketplace: Stakeholder Experience
• Protect and grow core business: Assistance to Member Application and Onsite Review Teams
• Protect and grow core business: Enforcement
• Protect and grow core business: Client Complaints And Disputes

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