Vacancy title:
Senior Compliance Officer

Jobs at:
Capital Markets Authority ( CMA)

Deadline of this Job:
Friday 22nd September 2017, by 5:00PM

Duty Station:
Kampala, Uganda

Job details:
The Capital Markets Authority (CMA) is an autonomous body, established in 1996 under the capital Markets Authority Aw (Cap 84) 1996, to promote, develop and regulate the capital market industry. The Work of the CMA is also governed by the Securities Central Depositories (SCD) Act (2009) and the Collective Investment Schemes (CIS) Act (2003). CMA is governed by a Board of Directors appointed by the Minister of Finance, Planning and Economic Development.

Job Title: Senior Compliance Officer
Reports To: Director Legal & Board Affairs

Job Purpose Responsible for ensuring compliance with all laws and regulations pertaining to the securities market and is the focal point for market supervision support.

Responsibilities

• Support the process of corporate approvals (primary and secondary public offers for equity and / or debt], conduct due diligence for license applications and prospectus / information memorandum applications; and monitor compliance with licensing / approval obligations;
• Undertake market conduct and assessment of licensees, and make appropriate recommendations;
• Monitor compliance with laws, Regulation and guideline and report on compliance performance.
• Investigate irregularities and matters of non-compliance.
• Track the need for the review of regulations / guidelines, compare these with other capital markets regulatory framework and propose recommendations for change aimed at improving the efficiency uf the capital markets supervisory function This will include dialing regulatory notices lrorn time to time.
• Review proposed changes to stock exchange rules and regulations prior to their approval.
• Undertake legal research, and prepare legal briefs and opinions from time to time
•  Represent the Authority in external stakeholder working groups / task force meetings and engagements as delegated from time to time
• Organize and participate in consultative engagements with market intermediaries
•  Any other related duties that may be assigned from time to time

Person Specification
Must hold at least a Bachelor’s degree (Honors) in Law from a recognized institution of learning and a minimum of four (41 years post qualification work experience in legal practice with a reputable firm. A postgraduate diploma in legal practice OR Professional / Postgraduate qualification in Law, Finance, Investment, Pensions or any other related field is an added advantage. Experience in corporate/ commercial law or transaction advisory is desirable and familiarity with the capital markets industry is desirable.

Job application procedure
Interested candidates should hand deliver or send via email (in standard file types, namely Microsoft Word or Adobe Acrobat (pdf) in a single attachment, and should not exceed 10 MB their applications together with a recent CV (with 3 references), copies of academic transcripts and/or certificates by Friday 22nd September 2017, by 5:00PM to:

The Director Corporate Services, Capital Markets Authority, 8th Floor, Jubilee Insurance Center. Plot 14 Parliament Avenue, RU Box Z4565 Kampala Email: info@cmauganda.co.ug

PLEASE TAKE NOTE THAT ONLY SHORTLISTED CANDIDATES WILL BE CONTACTED

All interested applicants should refer to the CMA website for detailed Job descriptions and person specifications for each job