Senior Compliance Officer Career Jobs – Capital Markets Authority (CMA)

Organisation: Capital
Markets Authority (CMA)
Duty Station: Kampala,
Reports to: Director Legal
& Board Affairs
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.
Job Summary: The Senior
Compliance Officer will be responsible for ensuring compliance with all laws
and regulations pertaining to the securities market and is the focal point for
market supervision support.
Key Duties and
  • Support the process of corporate approvals
    (primary and secondary public offers for equity and / or debt), conduct
    due diligence for license applications and prospectus / information
    memorandum applications; and monitor compliance with licensing / approval
  • Carry out market conduct and assessment of
    licensees, and make appropriate recommendations;
  • Keenly monitor compliance with laws,
    regulations and guidelines and report on compliance performance;
  • The jobholder will investigate
    irregularities and matters of non-compliance.
  • Keenly track the need for the review of
    regulations / guidelines, compare these with other capital markets
    regulatory framework and propose recommendations for change aimed at
    improving the efficiency of the capital markets supervisory function. This
    will include drafting regulatory notices from time to time.
  • Review proposed changes to stock exchange
    rules and regulations prior to their approval.
  • Carry out legal research, and prepare
    legal briefs and opinions from time to time
  • Represent the Authority in external
    stakeholder working groups / task force meetings and engagements as
  • Organize and participate in consultative
    engagements with market intermediaries

Qualifications, Skills and
  • The ideal candidate for the Capital
    Markets Authority (CMA) Senior Compliance Officer job placement should
    preferably hold a Bachelor’s degree (Honors) in Law from a recognized
    institution of learning. A postgraduate diploma in legal practice OR
    Professional / Postgraduate qualification in Law, Finance, Investment,
    Pensions or any other related field is an added advantage.
  • At least four (4) years post qualification
    work experience in legal practice with a reputable firm. Experience in
    corporate/ commercial law or transaction advisory is desirable and
    familiarity with the capital markets industry will be an added advantage.
  • Highly
    ethical, principled and proactive
  • Good
    analytical and organizational skills;
  • Excellent
    interpersonal and communication skills
  • Keen
    attention to detail
  • High
    levels of flexibility and ability to work under minimum supervision.
How to Apply:
All suitably qualified and interested candidates should hand deliver or
send via email (in standard file types, namely Microsoft Word or Adobe Acrobat
(pdf) in a single attachment, and should not exceed 10MB) their applications
together with a recent CV (with 3 references), copies of academic transcripts
and/or certificates to:
The Director Corporate Services,
Capital Markets Authority,
8th Floor, Jubilee Insurance Center,
Plot 14 Parliament Avenue,
P.O Box 24565 Kampala.
Email to:
NB: Please take note that
ONLY shortlisted candidates will be contacted.
Deadline: Friday 22nd September
2017 by 5:00PM

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