Job Purpose:

• To ensure that issuers of securities to the public conduct their activities in accordance with Securities Laws and Regulations.

Major Accountabilities & Responsibilities:

• Review securities Offer Documents in line with Securities Industry Act, 2016 (Act 929), Securities and Exchange Commission (SEC) Regulations 2003, L.I. 1728, and Companies Act 2019 (Act 992).
• Review applications for Takeovers and Mergers and other forms of business combinations in line with SEC Code on Takeovers and Mergers, 2008 and the Companies Act 2019 (Act 992).
• Monitor securities offerings and business combination activities and processes to ensure compliance with securities laws and regulations and produce project closure reports.
• Lead post-offer review of issuers of securities to ensure terms and conditions of the offers as contained in offer documents are complied with.
• Review Annual Financial Reports and Interim financial Statements of listed companies to ensure compliance with Securities Regulations and Accounting and Auditing Standards.
• Conduct on-site review of issuers with securities listed on the main exchange and the GFIM of the Ghana Stock Exchange using risk-based approach to ascertain compliance with the Companies Act 2019, Act 992, SEC Regulations 2003, L.I. 1728 and International Financial Reporting Standards (IFRS).
• Conduct investigations into accounting malpractices or misreporting by public companies where the Commission so suspects.
• Liaise with the Institute of Chartered Accountants, Ghana (ICAG) on matters of accounting and auditing standards.
• Review Corporate Governance structures/processes of public companies and measure compliance with:
• The SEC Code of Corporate Governance for companies with securities listed on the Ghana Stock Exchange,
• the Companies Act, 2019 (Act 929) and the Securities Laws and Regulations.
• Develop market guidance notes for the implementation of Act 929 and SEC Regulations for streamlining market practices.
• Play a lead role in the preparation of annual work plan of the department and quarterly performance review of same.

Qualification Required & Experience

Minimum Educational & Professional Qualification

• Minimum of Master’s Degree in Accounting or Finance.
• Bachelor’s Degree in Accounting, Finance, Economics, Mathematics or any relevant field.
• A Qualified Member of a Professional Body such as CA, ACCA, CIMA, CFA and in good standing with a minimum of 9 years post qualification experience.
• A minimum of twelve (12) years post Bachelor’s-Degree relevant work experience, four (4) of which must be in a managerial level in a reputable organization.

Technical, Managerial & Behavioural Competencies Required

• Knowledge in Accounting Principles, International Auditing Standards (ISAs) and Financial Reporting Standards (IFRS).
• Ability to analyse and interpret financial statements of public companies for profitability, solvency and going-concern purposes.
• Working knowledge of the securities market.
• Proficient in Microsoft office tools.
• Excellent management, problem-solving and writing skills.
• Ability to take initiatives, innovate, exercise sound judgement and take responsibility for actions.
• Ability to work with direct reports to achieve departmental goals and must have good temperament.
• Be hardworking, result-oriented and time conscious.
• Have strong ethical and professional skills.

Location: Accra