Compliance Manager – Capital Markets Authority (CMA)

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The Capital Markets Authority (CMA) was established by virtue of the Capital Markets Authority Act Cap 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 would like to fill the following position that exist within its establishment;

Position: Compliance Manager
Reports to: Director Legal & Compliance
Strategic Objective of the job: Develop, implement, monitor and evaluate the regulatory compliance of licensed entities and issuers to the CMA laws and other relevant legislation and standards.
Key Result Areas:
·         Review licensee applications, prospectus and information memorandums and make recommendations in line with applicable laws and accounting standards;
·         Prepare compliance plans, coordinate, supervise and carry out inspections;
·         Review compliance reports and prepare reports on recommended enforcement action;
·         Prepare investigation plans, analyze investigation reports and prepare reports on recommended enforcement action;
·         Review and analyze financial and other performance reports of market intermediaries and listed companies;
·         Participate in review of CMA legislation and regulations
·         Take charge of complaints handling from market intermediaries & the general public
·         Supervise Compliance Officers and evaluate performance of staff under their supervision;
·         Any other related duties that may be assigned from time to time.
Person Specification:
Minimum Qualification & Experience:
·         Bachelor’s degree in Commerce or Business Administration with a bias in Accounting, Finance or Auditing and full professional accountancy qualification such as ACCA or CPA with at least 4 years experience at a senior level in a reputable firm or organization
·         A Masters degree in a relevant field and basic legal qualifications will be an added advantage.
·         Have at least 4 years experience in compliance, auditing or investigations work in a reputable organisation.
·         Experience in Corporate Risk Management or with a Stock Broking or Fund Management organisation will be an added advantage
Age: Not above 35 years of age
Relevant additional qualities & skills:
Have good presentation, report writing and communication skills
Have high level of integrity and professionalism
Result & team oriented
Ability to work under tight deadlines with minimum supervision
Desirable managerial & interpersonal skills
Research, analytical and investigative skills
Salary: A Competitive salary and benefits including medical insurance will be offered to the successful applicants.
How to Apply
Applications will be accepted from Ugandan Nationals only. Interested applicants should submit their applications clearly marked with the position applied for together with:
·         Current Curriculum including a day time telephone contact
·         Names and contacts of three referees who can testify to the applicants abilities, working experience and integrity
·         Photocopies of academic transcripts, certificates and/or testimonials not later than 15th June 2012 to:
The Human Resource & Administration Manager
Capital Markets Authority
14 Parliament Avenue
Jubilee Insurance Centre
8th Floor, P.O. Box 24565 Kampala, Uganda
Or
Please check for further details on CMA website: www.cmauganda.co.ug

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