Job
Title: Legal
and Compliance Officer
Organisation: Uganda Securities Exchange Limited (USE)
Ref: LCO/USE/2013
Reports
to: Head, Legal and
Compliance
to: Head, Legal and
Compliance
Job
Summary: The Legal and
Compliance Officer is responsible for providing Legal support to the Exchange
to enable it function efficiently and be responsive to the organizational
needs.
Summary: The Legal and
Compliance Officer is responsible for providing Legal support to the Exchange
to enable it function efficiently and be responsive to the organizational
needs.
Key
Duties & Responsibilities:
Duties & Responsibilities:
- Assisting
in developing annual departmental plans for the core responsibilities of
the department, which plans should include: - Annual schedules for the
review and development of the Exchange’s legal framework; - Annual schedule of Governing Council meetings, and Management
Committee meetings - Annual staff work plans
and targets for departmental staff; - Annual inspections of member
firms; - Annual departmental work
plans emanating from the corporate strategy’s activity plan - Oversee
the conduct of annual and adhoc inspections of members and the reporting
thereof. - Provide
guidance to the Compliance Officers of member firms. - Oversee
the activities of Compliance Officers. - Apprise
Compliance Officers of new developments in the legal framework and
ensuring their update. - Act
as General Counsel to the Exchange and its subsidiaries. - Render
legal advice to the Exchange on matters as may be required including legal
advice on the rules of the Exchange, contracts and agreements to be
entered into by the Exchange and all other laws that have a bearing on the
industry. - Render
legal advice to the Subsidiaries of the Exchange as may be required
including legal advice on the rules of the Exchange, contracts and
agreements to be entered into by the Exchange and all other laws that have
a bearing on the industry. - Maintain
the legal framework of the Exchange. - Process
and evaluate all applications to the Exchange. - Ensure
regulatory compliance of the Exchange and its members. - Render
support to the Exchange’s surveillance mechanism. - Drafting
rules for the Exchange and writing reports and papers. - Participating
in refresher forums for member firms on securities regulation. - Preparing
materials for public education on legal aspects of the Securities’
industry. - Assisting
in the Company Secretarial function of coordinating and arranging Board
meetings, committee meetings and compiling minutes whenever required. - Carrying
out any other duties as may be assigned by the Chief Executive Officer.
Qualifications,
Skills & Experience:
Skills & Experience:
- Bachelor
of Laws degree from a recognized University. - Post
graduate diploma in legal practice. - A
Master’s degree in Law or other field of relevance to the capital markets
industry is an added advantage. - At
least 3 years of working experience in a busy organization. - At
least 3 years of working experience in a busy organization. - Ability
to network with professionals in the financial sector and in the region. - Ability
to critically analyze and solve legal and operational issues. - Ready
and willing to learn and explore. - Teamwork
Spirit and Innovation.
How
to Apply:
to Apply:
All interested individuals should
apply by submitting the following in a sealed envelope clearly marked
‘Application for Legal and Compliance Officer’ including;
apply by submitting the following in a sealed envelope clearly marked
‘Application for Legal and Compliance Officer’ including;
- A
letter of interest (not more than two pages in length) describing
knowledge, skills and abilities that relate to the criteria outlined in
this recruiting announcement. - A
detailed curriculum vitae (CV) with copies of relevant academic
certificates attached. - Contact
details of three professional and personal and address it to:
The Chief Executive
Uganda Securities Exchange
Limited
Limited
Plot 71/73 Kampala Road,
Prism Building, 4th Floor,
P.O. Box 23552, Kampala, Uganda
Deadline:
Friday 17th May, 2013.
Friday 17th May, 2013.
N.B.
- Any
form of canvassing will lead to the automatic disqualification of your
application. - The
remuneration package for this position is competitive and is commensurate
with the terms and conditions of the Exchange. - Only
shortlisted candidates will be contacted.
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