Job Title: Compliance Manager
Organisation: Capital Markets Authority (CMA)
Job Summary: Coordinate, monitor and evaluate the regulatory compliance of licensed entities and issuers to the CMA laws and other relevant legislation and standards.
He/ She reports to Director Legal & Compliance
He/ She reports to Director Legal & Compliance
Key Performance Indicators:
· Review licensee applications, prospectus and information memorandums and make recommendations in line with applicable laws and accounting standards;
· Oversee Preparation compliance plans, coordination, supervision and inspections;
· Review compliance reports and prepare reports on recommended enforcement action;
· Review investigation plans, analyze investigation reports and prepare reports, financial and other performance reports of market intermediaries and listed companies;
· Manage and supervise the team of staff in the division for superior performance.
· Provide technical expertise in review of CMA legislation and regulations.
· Ensure that all relevant reports including semi-annual and annual reports, are submitted in accordance with the requirements.
· 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.
Qualifications, Skills & Experience:
· Bachelor’s degree in Commerce or Business Administration with a bias in Accounting, Finance or Auditing.
· Full professional accountancy qualification such as ACCA or CPA with
· At least 4 years experience at a senior level in a reputable firm or organisation is a must.
· A Masters degree in a relevant field and basic legal qualifications will be an added advantage.
· Have at least 4years experience in compliance, auditing and investigations work in a reputable organisation.
· Experience in corporate risk management or with a Stock Broking or Fund Management organisation or the Financial Services Industry will be an added advantage.
Age: Not above 40 years of age
How to apply:
Interested candidates should send their application and detailed CV by email to: [email protected] or by post/ courier to the address below: The Director, Executive Recruitments, Future Options Consulting Ltd, 4th Floor, Diamond Trust Building, Kampala Road, P.O. Box:34934, Kampala, Uganda.
Deadline 4th March 2013
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