The Securities Act 2012 (“the Act”) entrusts the Commission with the responsibility to ensure that the requirements of Section 62(1) of the Act are duly executed and that “no security shall be distributed or listed with any self-regulatory organization unless it is registered with the Commission”. DR&CF is therefore responsible for the registration of all self-regulatory organisations, broker-dealers, underwriters, reporting issuers and investment advisers as well as the securities that they provide.

Positions:

Director, Disclosure, Registration and Corporate Finance
Senior Financial Research Officer
Financial Research Officer
Financial Researcher
Senior Accountant
Accountant
Account Clerk
Clerical Assistant II

This Division’s purpose is to monitor the local capital market with a view to ensuring compliance with the Securities Act 2012 and relevant provisions of other subsidiary legislation.

Positions:

Director, Market Regulation and Surveillance
Senior Financial Research Officer
Financial Research Officer
Clerical Assistant II

This is the newest Division of the Commission, which was established in January 2014 as a result of the passage of the Securities Act 2012. Its main responsibility is to conduct inspections and examinations of self-regulatory organizations, broker-dealers, registered representatives, underwriters, issuers and investment advisers as may be necessary for giving full effect of the Act.

Positions:

Director, Compliance and Inspections

Senior Financial Research Officer

Financial Research Officer

Clerical Assistant II

This Division’s key functions include a focus on the corporate, strategic and tactical legal initiatives as well as the management of the Commission’s legal function.

Positions:

Chief Legal Counsel

Lead Counsel Advisory

Lead Counsel Enforcement

Senior Legal Counsel

Legal Counsel

Legal Assistant

Clerical Assistant II

The Policy, Research & Planning Division provides research, planning and policy formulation capabilities to all departments as it relates to the capital market, local and international economies, securities regulation and associated matters that engage the attention of the Commission. The Division houses a Library which is considered a “Specialist Library”, designed primarily for in-house use. This specialist library also compiles articles and information on capital markets and institutions.

Positions:

Director, Policy, Research and Planning

Senior Financial Research Officer

Financial Research Officer

Documentation Officer

Clerical Assistant

The Division’s mission is to promote informed investor decisions and the TTSEC’s role as regulator, through all aspects of corporate communications such as public education and communication. The Division is also responsible for performing the Commission’s public relations, protocol and crisis communications functions. In accordance with the IOSCO principles, the Division coordinates a multi-faceted investor education programme designed to provide investors and potential investors with suitable information to guide informed decisions.

Positions:

Director, Corporate Communications, Education and Information

Senior Communications Officer

Communications Officer I

Communications Assistant

The Division plays a key role in driving and supporting the development of policies and strategies to engage with international, regional and other key stakeholders in the securities markets.

Position:

International Affairs Officer

The Information Management Division assesses, develops, manages and supports the technological and data requirements of the Commission’s internal and external users by establishing performance measures, business processes, business continuity planning and support, digital and online communications, telecommunications, enterprise resource planning and project management.

Position:

Director, Information Management

Lead Technician, Projects

Lead Technician, Production Support

Database Analyst

Information Analyst

Help Desk Coordinator

IT Support Engineer

The Corporate Services Division is responsible for managing and executing the following functions of the Commission: Administration, property management, procurement, records management, health and safety, fleet management and security services for the Commission.

Position:

Director, Corporate Services

Corporate Service Assistant

Facilities Coordinator

Corporate Assistant

Customer Service Assistant

Clerical Assistant

Service Attendant

Chauffeur Messenger

Handyman

The Records Management Unit is responsible for the Commission’s active, inactive and vital records in both the physical and electronic environments. The Records Management Unit is also responsible for maintaining the Commission’s centralized filing system and contributes to the implementation and maintenance of the Commission’s Disaster Preparedness Plan.

Position:

Records Management Officer

Records Management Technician

Clerical Assistant II

Records Management Clerk

The Human Resource Department is responsible for planning and executing a range of human resource strategies with line managers and plans, co-ordinates and implements the human resource management infrastructure that mutually satisfies both corporate objectives and employee needs. This Department is also mandated under the Securities Act, 2012 to ensure that persons appointed to the Commission comply with section 14 of the Act and By-law 8 of the Securities Industry By-laws, 1997.

Position:

Human Resource Manager

Human Resource Officer

Human Resource Assistant

Human Resource Clerk

The Internal Audit Department is responsible for developing, documenting, implementing, testing and maintaining a comprehensive internal audit plan and system of internal controls to ensure that the Commission is compliant with applicable laws and regulations, its policies and procedures.

Position:

Internal Audit Manager

Internal Audit Officer