The Capital Markets Authority (CMA) was established by the Capital Markets Authority Act Chapter 84 Laws of Uganda as a semi autonomous body responsible for the promotion, development and regulation of the capital markets industry in Uganda. The Authority is seeking to recruit a Ugandan national to fill the position of Compliance Officer that exists within its establishment
Job Title: Compliance Officer
Reports to: Legal and Compliance Manager
Strategic objective of the job:
Monitor and evaluate regulatory compliance of licensed firms and issuers with CMA laws and regulations.
Key Result Areas:
Review prospectuses and information memoranda of issuers of securities in accordance with CMA laws and regulations.
2. Review applications for licenses in line with CMA laws and regulations.
3. Monitor regulatory compliance of licensed per¬sons on an on-going basis.
4. Provide guidance to licencees on interpretation and application of CMA laws specific to their business activities.
5. Assist in integrating legal and regulatory compliance requirements into policies, procedures and controls.
6. Conduct research on legal matters affecting the securities market.
7. Coordinate and prepare customized compliance training for all licencees.
8. Handle public enquiries and complaints.
9. Any other duties that may be assigned from time to time
Person specification:
* Hold a Bachelor's degree in Law, Diploma in Legal Practice from a recognized University/institution and must be an enrolled Advocate. A Masters degree in a relevant discipline is an added advantage.
Minimum experience:
* Should have at least 2 years experience in compliance in a reputable organization, such as a practicing lawyer with a reputable law firm or other government agency. Experience with stock broking or fund management organizations will be an added advantage.
* Prior work experience in a financial or regulatory institution, in compliance or legal role is an added advantage.
Age limit: Not above 28 years of age
Relevant additional qualities and Skills:
* High level of integrity and professionalism.
* Well organized, detail oriented, efficient and able to work with little or no supervision under tight deadlines.
* Knowledge of computer application software to process reports, spreadsheet data and schedule
*Result and team oriented.
*Excellent interpersonal skills. Must be able to establish and maintain a rapport with clients and other players in the market.
*Effective verbal and written communication skills, with proven presentation skills.
*Analytical and investigative skills
To Apply:
Job Title: Compliance Officer
Reports to: Legal and Compliance Manager
Strategic objective of the job:
Monitor and evaluate regulatory compliance of licensed firms and issuers with CMA laws and regulations.
Key Result Areas:
Review prospectuses and information memoranda of issuers of securities in accordance with CMA laws and regulations.
2. Review applications for licenses in line with CMA laws and regulations.
3. Monitor regulatory compliance of licensed per¬sons on an on-going basis.
4. Provide guidance to licencees on interpretation and application of CMA laws specific to their business activities.
5. Assist in integrating legal and regulatory compliance requirements into policies, procedures and controls.
6. Conduct research on legal matters affecting the securities market.
7. Coordinate and prepare customized compliance training for all licencees.
8. Handle public enquiries and complaints.
9. Any other duties that may be assigned from time to time
Person specification:
* Hold a Bachelor's degree in Law, Diploma in Legal Practice from a recognized University/institution and must be an enrolled Advocate. A Masters degree in a relevant discipline is an added advantage.
Minimum experience:
* Should have at least 2 years experience in compliance in a reputable organization, such as a practicing lawyer with a reputable law firm or other government agency. Experience with stock broking or fund management organizations will be an added advantage.
* Prior work experience in a financial or regulatory institution, in compliance or legal role is an added advantage.
Age limit: Not above 28 years of age
Relevant additional qualities and Skills:
* High level of integrity and professionalism.
* Well organized, detail oriented, efficient and able to work with little or no supervision under tight deadlines.
* Knowledge of computer application software to process reports, spreadsheet data and schedule
*Result and team oriented.
*Excellent interpersonal skills. Must be able to establish and maintain a rapport with clients and other players in the market.
*Effective verbal and written communication skills, with proven presentation skills.
*Analytical and investigative skills
To Apply:
Applications and photocopies of academic transcripts, certificates and/or testimonials should be submitted not later than Wednesday, 25th August 2010 to:
The Human Resource and Administration Manager
Capital Markets Authority
14 Parliament Avenue
Jubilee Insurance Centre
8th Floor, P.O. Box 24565 Kampala, Uganda
Email: info@cmauganda.co.ug
Website: www.cmauganda.co.ug
All applicants not contacted by Friday, 3rd September 2010 should consider their applications unsuccessful.
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