Esther D. Larweh
Accra
Summary
An individual who is enthusiastic and has good communication skills. I hold appreciable skills in monitoring and evaluation which is backed by a good knowledge of the capital market. I possess a shrewd business mind which highly inclines me towards a job area that requires critical analyses, extrapolation of pragmatic solutions and generation of reports.
Overview
18
18
years of professional experience
Work History
Senior Manager, Broker – Dealer and Advisers Department
Securities and Exchange Commission
01.2018 - Current
- Supervise the team to undertake both on-site and off-site inspections to ascertain the level of compliance of licensees to the Securities Industry Act, 2016 (Act 929)
- Prepares and submits reports to the Head of Departments on both on-site and off-site inspections
- Anticipate and assess key systemic and unsystemic risks within the capital market and propose appropriate mitigating measures for the Head of the Department’s consideration
- Supports the development of guidelines and drives its implementation within the capital market
- Ensure risk issues identified with market operators are tracked till closure
- Lead the team to review and process application requests from prospective market operators
- Ensure that companies allotted to my team are in good standing
- Assist the Head of the Department in the smooth running of the department
Manager, Broker – Dealer and Advisers Department
Securities and Exchange Commission
01.2015 - 12.2017
- Led the review and analysis of financial statements from market operators
- Prepared and submitted reports on the analysed financial statements to the Head of the Department
- Undertook both off-site and on-site inspections of market operators to ascertain their level of compliance with the Securities Industry Laws (SIL) as well as other regulations of the market
- Anticipated and assessed key systemic and unsystemic risks within the capital market and proposed the appropriate mitigating control measures for the consideration of management
- Supported the development of guidelines and drove the implementation within the capital market
- Provided guidance to the auditees on regulations and best practices as and when required
- Owned and ensured risk issues identified with market operators were tracked till closure
- I was responsible for receiving, reviewing and processing application request from market operators for both initial and renewal of licenses
- Ensured that companies allotted to the team are in good standing
Assistant Manager, Broker – Dealer and Advisers Department
Securities and Exchange Commission
01.2012 - 12.2014
- Reviewed and analysed returns (financials and compliance reports) from market operators
- Prepared reports on returns submitted by market operators
- Undertook both off-site and on-site inspections of market operators to ascertain their level of compliance with the Securities Industry Laws (SIL) as well as other regulations of the market
- Supported the development of new regulations and drives their implementation within the capital market
- Provided guidance to the auditees on regulations and best practices as and when required
- Owned and ensured risk issues identified with market operators are tracked till closure
- I was responsible for reviewing and processing application request from market operators for both new and renewal of licenses
- Ensured that companies allotted to the team are in good standing
- Supervised the team to ensure the efficient and effective operation of the Department
Officer 1, Market Surveillance Department
Securities and Exchange Commission
11.2009 - 12.2011
- Reviewed and analysed returns (financials and compliance reports) of market operators
- Prepared and analysed reports of funds under the management of market operators
- Prepared reports on returns submitted by market operators
- Undertook both off-site and on-site inspections of market operators to verify their level of compliance with the Securities Industry Laws (SIL) and other regulations of the market
Officer 11, Market Surveillance Department
Securities and Exchange Commission
02.2007 - 10.2009
- Undertook on-site inspections of market operators to verify their level of compliance with the Securities Industry Laws (SIL) and other regulations of the market
- Prepared reports on returns submitted by market operators
- Reviewed and analysed returns (financials and compliance reports) of market operators
Shop floor executive
Ecobank Ghana Limited
09.2006 - 01.2007
- Was the pioneer of shop floor executive in the branch
- Ensure that the customer is always delighted
- Ensure that the banking hall is always neat
- Manage queues to ensure orderliness
- Help serve clients on time and ensure service turnaround times are adhered to
- Prepare and submit monthly service reports to both the Branch Manager and Head of Customer Care
Education
Member -
01-2024
01-2023
Masters in Business Administration - Finance
01-2011
Bachelor of Management Studies -
01.2005
S.S.C.E. - Business
01.1999
Skills
- Effective Communication
- Analytical
- Attention to details
- Good Teamwork
- Cross-functional team coordination
- Operations management
- Documentation and reporting
Accomplishments
- Part of the team that developed Guidelines for the Capital Market.
- Part of the team that reviewed the Securities Industry Act, 2016 (Act 929).
- Part of the team that organized training for Directors of Licensees.
Seminars Training Programmes
- Chartered Institute For Securities Investment, 2019
- Financial Services Authority (FSA) - United Kingdom, 06/2010
- Advanced Risk Responsive Operating Framework (ARROW) Training Programme
- University of Pretoria School of Public Management and Financial Services Board (FSB) – South Africa
- Consumer Financial Education Programme, 05/2010
- United Nations Institute for Training and Research (UNITAR) – E-Learning Courses
- Fundamentals of Derivatives Markets, 06/2009 - 07/2009
- Advanced Capital Market Development and Regulation, 10/2008 - 11/2008
- Fundamentals of Capital Market Development and Regulation, 08/2008 - 10/2008
- Study (Internship) of the Securities Industry of Thailand, 10/2009
- Thailand Stock Exchange
- Securities and Exchange Commission of Thailand
- Agriculture & Futures Trading Commission of Thailand
- West African Institute for Financial & Economic Management (WAIFEM) – Lagos, Nigeria
- Money Market Development and Techniques of Securities Trading.
- Bombay Stock Exchange Training Institute – Mumbai, India., 09/2007
Hobbies
Swimming
Traveling
Driving
Watching Movies
Timeline
Senior Manager, Broker – Dealer and Advisers Department - Securities and Exchange Commission
01.2018 - Current
Manager, Broker – Dealer and Advisers Department - Securities and Exchange Commission
01.2015 - 12.2017
Assistant Manager, Broker – Dealer and Advisers Department - Securities and Exchange Commission
01.2012 - 12.2014
Officer 1, Market Surveillance Department - Securities and Exchange Commission
11.2009 - 12.2011
Officer 11, Market Surveillance Department - Securities and Exchange Commission
02.2007 - 10.2009
Shop floor executive - Ecobank Ghana Limited
09.2006 - 01.2007
University of Cape Coast - Bachelor of Management Studies,
Yilo Krobo Senior Secondary School - S.S.C.E., Business
Institute of Chartered Accountants, Ghana (ICAG) - Member,
Chartered Institute of Management Accountants (CIMA) - ,
University of Ghana, Legon - Masters in Business Administration, Finance
Similar Profiles
Adedayo AbiriAdedayo Abiri
Manager of Operations at Securities and Exchange CommissionManager of Operations at Securities and Exchange Commission
Dashanka WarnakulasooriyaDashanka Warnakulasooriya
Senior Assistant Manager at Securities and Exchange Commission of Sri LankaSenior Assistant Manager at Securities and Exchange Commission of Sri Lanka
SETH OKANTEYSETH OKANTEY
Customer Service Representative at SECURITIES AND EXCHANGE COMMISSIONCustomer Service Representative at SECURITIES AND EXCHANGE COMMISSION