The Ugandan Jobline

• 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
  obligations;
• 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
  delegated.
• Organize and participate in consultative
  engagements with market intermediaries

• 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.

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