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European Union : Vacancy notice - Senior Policy Officer Investor Protection Profile (deadline 16/10/2017)

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09/14/2017 | 01:14am CEST

Date: 13/09/2017 ESMA/2017/VAC13/AD7




REF.: ESMA/2017/VAC13/AD7

Type of contract

Temporary Agent1

Function group and grade


Duration of contract

5 years, with possibility of extension2


Investors and Issuerts Department

Place of employment

Paris, France

Deadline for applications

16/10/2017 (23:59 hrs, Paris local time)

Reserve list valid until


  1. The Authority

    ESMA is an independent EU Authority that was established on 1 January 2011. ESMA's mission is to enhance investors' protection and promote stable and orderly financial markets. This mis- sion is derived from ESMA's founding Regulation4 and encompasses three objectives:

    • Investors' protection: to have the needs of financial consumers better served and to re- inforce their rights as investors while acknowledging their responsibilities;

    • Orderly markets: to promote the integrity, transparency, efficiency, and well-functioning of financial markets and robust market infrastructures, and

    • Financial stability: to strengthen the financial system in order to be capable of with- standing shocks and the unravelling of financial imbalances while fostering economic growth.

    ESMA achieves its mission within the European System of Financial Supervision (ESFS) through active co-operation with National Competent Authorities (in particular with securities market regulators) as well as with the European Banking Authority (EBA) and the European In- surance and Occupational Pensions Authority (EIOPA). ESMA has a unique position within the ESFS as it focuses on the securities and financial markets dimension and the overarching Euro- pean aspects of these objectives. For further information, please refer to ESMA's website: http://www.esma.europa.eu.

  2. According to the Article 2(f) of the Conditions of Employment of Other Servants (CEOS) of the European Union.

  3. Temporary agents may be engaged under their first contract for a fixed period of 5 years. Any further renewal shall be in principle for an indefinite duration.

  4. Probationary period for the first contract is nine months.

    1. The validity of the reserve list may be extended.

    2. Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC.

    3. Job framework and profile

      ESMA is organising a selection procedure for the profile of "Senior Policy Officer" within the Investor Protection & Intermediaries (IPI) team of the Investor & Issuers (INI) Department.

      The Investors & Issuers Department of ESMA is responsible for the rule-making and supervisory convergence related to five different areas:

      • Corporate Finance;

      • Corporate Reporting;

      • Investment Management;

      • Investor Protection and Intermediaries;

      • CRA Policy.

        Main duties:

        The Investor Protection and Intermediaries team (together with other ESMA's teams/Departments) is in charge of one of the core and transversal missions of ESMA - fostering investor protection through preparing technical standards and/or guidelines and recommenda- tions, providing technical advice to the Commission, developing supervisory convergence or any other related initiatives in this area.

        The jobholder will contribute to ESMA's work on the MiFID requirements concerning the provi- sion of investment services and activities by investment firms and credit institutions (authorisa- tion, organisational and conduct of business rules), and on investor protection more generally.

        Under the responsibility of the Head of the Investors & Issuers Department and direct supervi- sion of the Investor Protection and Intermediaries Team Leader, the jobholder will:

      • Contribute actively to ESMA's task in promoting supervisory convergence among nation- al authorities in the area of investor protection and the provision of investment services and activities;

      • Support the tasks of the Investor Protection & Intermediaries Standing Committee, its Task Forces and other working groups that are responsible for conducting or preparing ESMA's work in this area;

      • Contribute to ESMA's tasks in preparing technical advice to the European Commission, technical standards and/or guidelines and recommendations and any other initiatives on the requirements of MiFID and its revision, relating to investment services and activities provided by intermediaries;

      • Represent ESMA in meetings with internal and external stakeholders;

      • Undertake any other related tasks assigned by the Team Leader or/and Head of Depart- ment.

    4. Professional qualifications and other requirements

      1. Eligibility criteria

        To be considered eligible, candidates must satisfy all the eligibility criteria listed below, by the deadline for submitting applications:

        • have at least a level of education which corresponds to completed university studies of four years attested by a diploma5, and after having obtained the diploma, six years of proven professional experience6;


        • have at least a level of education which corresponds to completed university studies of three years attested by a diploma7, and after obtained the diploma, seven years of prov- en professional experience8;

        • be a national of a Member State of the European Union or the EEA (Norway, Liechtenstein, Iceland);

        • enjoy full rights as a citizen9;

        • have fulfilled any obligations imposed by the applicable laws concerning military service;

        • produce the appropriate character references as to their suitability for the performance of their duties;

        • have a thorough knowledge of one of the languages of the European Union10 and a satis- factory knowledge11 of another language of the European Union, and

        • be physically fit to perform the duties linked to the post12.

      2. Selection criteria


        Applications which fulfil the above Eligibility criteria (part A) will be assessed against the Essential requirements (part B.1). Candidates who do not meet all of the Essential requirements (part B.1) will be excluded from the selection process.

        Candidates who meet all of the Essential requirements (part B.1) will be scored against the Advantageous requirements (part B.2). Within this comparative evaluation of applications, the 6 best candidates, who obtain the highest scores and reach a minimum score of 65%, will be invited for interviews and written tests.

        5 Only qualifications that have been awarded in EU Member States or that are subject to the equivalence certificates issued by the authorities in the said EU Member States shall be taken into consideration.

        6 For more information on calculating the professional experience, please consult the "Candidates Guidelines" document published on ESMA's website https://www.esma.europa.eu/about-esma/careers

        7 See footnote 5.

        8 See footnote 6.

        9 Prior to the appointment, the successful candidate will be asked to provide a police certificate confirming the absence of any crimi- nal record.

        10 The languages of the EU are: Bulgarian, Croatian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Irish, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish, and Swedish.

        11 At least at the level B2, according to the Common European Framework of Reference for Languages: http://europass.cedefop.europa.eu/en/resources/european-language-levels-cefr

        Knowledge of the 2nd EU language will be tested orally for candidates invited for interviews.

        12 Before the appointment, the successful candidate shall be examined by one of the EU medical centres in order to confirm that the candidate fulfils the requirements of Article 12(2) (d) of the CEOS (physical fitness to perform the duties).

        1. Essential requirements

        2. At least six (6) years of work experience (acquired after the required level of education, see part 3A), in the area of investor protection;

        3. University diploma (see part 3A above) acquired in economics, finance, law or other relevant subject;

        4. Excellent written and oral English13.

        5. Advantageous requirements

        6. With reference to the criterion "a", experience in addition to the requested six (6) years, would be an asset;

        7. Experience in the application of MiFID;

        8. Experience in the area of financial supervision or regulation, acquired in a supervisory body or financial services provider;

        9. Experience in drafting policy documents at the EU and/or national level;

        10. Experience in structuring or analysis of financial products and/or experience in product approval processes and/or product intervention;

        11. Work experience in a multicultural environment and

        12. Motivation for the advertised position.


          Candidates invited for interviews and written tests will be assessed against all selection criteria (parts B1 & B2 & B3).

        13. Supplementary requirements

        14. Strong interpersonal skills and ability to interact with multiple internal and external stake- holders, including at a senior level;

        15. Good communication and organisational skills;

        16. Ability to work under pressure and deliver high quality work under tight timelines;

        17. Ability to manage cross-functional projects in an international environment and

        18. Ability to handle change and adapt to new situations.

        19. Candidates who receive at least 65% of the maximum points in both the interview and written test will be included in the reserve list of suitable candidates.

          The established reserve list may be used for the recruitment of a similar post depending on the needs of ESMA. Please note that inclusion in the reserve list does not guarantee recruitment.

        20. How to apply

        21. Candidates must apply by sending the following documents, by the specified deadline, to [email protected]

          13 At least at B2 level.

          English is the internal working language of ESMA, as decided by ESMA Management Board with the decision ESMA/2011/MB/3 of 11/01/2011. This decision implements Article 73 (2) of the ESMA Regulation (EU) No 1095/2010 establishing ESMA.

      European Union published this content on 13 September 2017 and is solely responsible for the information contained herein.
      Distributed by Public, unedited and unaltered, on 13 September 2017 23:13:04 UTC.

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