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Director Market Supervision (Compliance) Employment Opportunity – Capital Markets Authority (CMA)

 Job
Title:             
 Director
Market Supervision (Compliance)

Organization:  Capital Markets Authority (CMA)

Duty Station:  Kampala,
Uganda

Reports to:  Chief Executive Officer

 

About US:

The Capital
Markets Authority (CMA) is a statutory body, established in 1996 by the Capital
Markets Authority Act (Cap 84) as amended, to promote, develop and regulate the
capital markets industry. CMA is governed by a Board of Directors appointed by
the Minister of Finance, Planning and Economic Development. The work of the CMA
is also governed by the Securities Central Depositories Act, 2009 and the
Collective Investment Schemes Act, 2003.

 

Job Summary:  The Director Market Supervision (Compliance)
will primarily maintain and regulate an orderly, fair and efficient capital
market by ensuring existing and new market intermediaries, investors and
issuers comply with the CMA regulatory framework

Key Duties and Responsibilities:  

·       
Monitor market intermediaries and stock exchanges to
ensure they comply with the regulatory framework of the CMA and the Anti-Money
Laundering Act, through periodic inspections and surveillance of the market.

·       
Advise on the gaps identified in the laws, exchange rules
and regulations through periodic feedback to the legal department.

·       
Lead the issue of new licenses, and renewals and approvals
to intermediaries in line with the CMA client charter.

·       
Identify potential market conduct risks and recommend/
take mitigating actions in a timely manner

·       
Lead the approval of debt and equity public offers, and
other corporate actions, in line with the CMA client charter or any other
standards agreed to from time to time.

·       
Ensure listed companies comply with corporate Governance
guidelines & the Companies Act 2012

·       
Manage the performance of the department. This includes
setting and monitoring staff performance against agreed key result areas;
managing staff capacity development; approving department budgets and work plan

·       
Oversee the market surveillance function, handle investor
complaints, conduct investigations resulting from investor or public
complaints, and report market abuses by licensed and unlicensed persons as well
as public companies for enforcement action.

·       
Organize stakeholder’s engagements such as compliance
sensitization seminars with market intermediaries.

·       
Any other related duty as may be delegated by the CEO

 




Qualifications, Skills and Experience:

·       
The applicant for the Capital Markets Authority (CMA)
Director Market Supervision (Compliance) employment opportunity should hold a
Bachelor’s degree with (Honors) in Law, Commerce, Economics, or any related
professional field from a recognized University.

·       
A master’s degree or postgraduate/ professional
qualification in a relevant field.

·       
At least ten (10) years’ post-qualification work
experience.

·       
Seven (7) Years of progressive compliance/regulatory (e.g.
Licensing, inspections) work experience preferably in a financial sector
regulatory agency

·       
Strong performance management will be an added advantage

·       
Leadership (by example & talent, demonstrates the
ability to provide clear direction)

·       
Communication (Ability to clarify situations, structure
interactions towards productive conclusions)

·       
Encouraging expression/debate, seeking win-win solutions;
and commanding attention & respect).

·       
Initiates and supports change

·       
Excellent coordination and organization skills

·       
High level of integrity

·       
Demonstrable client focused attributes

·       
Team work (fosters a cohesive team environment)

 

How to Apply:

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 addressed to:

 

The Human
Resource Officer

Capital
Markets Authority,

8th Floor,
Jubilee Insurance Center,

Plot 14
Parliament Avenue, P.O Box 24565 Kampala.

 

Email to: info@cmauganda.co.ug

 

Note:

·       
Only shortlisted candidates will be contacted.

·       
Your application will only be reviewed if you have
fulfilled all the above stated requirements, including submission of documents
in standard file types. Zipped files, links and / or multiple attachments are
not acceptable.

 

Deadline: 28th August 2020 by 5:00pm

 

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