Organisation: Capital Markets Authority (CMA)
Duty Station: Kampala, Uganda
Reports to: Director Market Supervision
About CMA:
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.
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.
Job Summary: The Market Supervision Officer will join the
Market Supervision Team whose mission is to promote a fair and transparent
capital market through ensuring regulatory compliance. The incumbent will be responsible
for the supervision of capital markets players in order to safeguard and
protect investor interests by ensuring intermediaries and listed companies
consistently comply with the conduct of business guidelines and uphold good
corporate governance practices.
Market Supervision Team whose mission is to promote a fair and transparent
capital market through ensuring regulatory compliance. The incumbent will be responsible
for the supervision of capital markets players in order to safeguard and
protect investor interests by ensuring intermediaries and listed companies
consistently comply with the conduct of business guidelines and uphold good
corporate governance practices.
Key Duties and Responsibilities:
- Keenly review prospectuses/information
memorandums for primary and secondary capital raising offers to the
public, to ensure that investors are provided with complete financial and
non-financial information on which to base their investment decisions.
This will include conducting financial analysis and examination of
financial statements of companies prior to their listing on approved
exchanges. - Regularly review applications for approval or
renewal of licenses of new or existing market intermediaries - Prepare for and undertake routine, ad-hoc and
thematic inspections and investigations of market intermediaries and
listed companies to monitor compliance with regulatory requirements aimed
at enhancing the integrity of the capital markets. This includes examining
financial disclosure records of market intermediaries and listed companies
to determine and continuously monitor compliance with regulatory
requirements. - Make recommendations for sanctions against
non-complaint market intermediaries. - Carry out periodic engagements with licensees
to keep them abreast of new and existing regulatory and compliance
requirements - Keenly monitor corporate announcements by
market players, and determine their compliance with reporting obligations - Receive and resolve complaints from potential
license applicants, new issuers and the investing public on any concerns
related to conduct of business by licensed intermediaries.
Qualifications, Skills and Experience:
- The applicant should hold a Bachelor’s degree
in Business Studies, Commerce, Finance, Economics, Law, Statistics, or any
other related field. Possession of a Post-Graduate - Training is desired
- Possession of a partial or full professional
or academic qualification in Finance, Investment, Pensions, Accounting, Law
or other related field will be an added advantage. - A minimum of three years of relevant
experience in the financial markets / pensions / insurance or related
field with a reputable firm within the financial services sector. - Previous experience within the capital
markets industry will be an added advantage. - Excellent interpersonal and communication
skills; - Excellent analytical and organizational
skills; - High levels of flexibility and ability to
work under minimum supervision.
How to Apply:
All
suitably qualified and interested candidates should submit their applications
together with a recently updated CV (with references) via email to [email protected] and copy [email protected]
or to the CMA physical address on 8th Floor, Jubilee Center, Plot 14
Parliament Avenue, Kampala.
suitably qualified and interested candidates should submit their applications
together with a recently updated CV (with references) via email to [email protected] and copy [email protected]
or to the CMA physical address on 8th Floor, Jubilee Center, Plot 14
Parliament Avenue, Kampala.
Deadline: 6th May, 2016 by 5:00 pm
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