Job Title: Director Market Supervision
Organisation: Capital Markets Authority (CMA)
Duty Station: Kampala, Uganda
Reports to: Chief Executive Officer
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 Director Market Supervision will 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:
· In charge of monitoring market intermediaries and stock exchanges to ensure they comply with the regulatory framework of the CMA.
· Identifying potential market conduct risks and recommending/taking mitigating actions in a timely manner.
· Taking responsibility for license renewal, approval of new licenses, and other related activities in line with the CMA Client Charter or any other standards agreed to from time to time;
· Taking lead of approval of public offers, and coordinating and ensuring the compliance of listed companies to the Corporate Governance guidelines & the Companies Act 2012;
· Responsible for managing the performance of the department. This includes setting performance targets; managing staff capacity development; approving department budgets and work plans; and appraising staff periodically;
· Overseeing the market surveillance function, conducting investigations into market abuse, recommending appropriate actions and overseeing administrative enforcement;
· In charge of organizing stakeholder engagements such as compliance seminars to train and equip compliance officers of market intermediaries; and
· Perform any other related duty as may be delegated by the CEO
Qualifications, Skills and Experience:
· The applicant should preferably hold a bachelor’s degree with honours in any of the following; Law, Business Administration, Commerce, Economics, Statistics or any other relevant degree and a Master’s degree or post graduate/professional certification in a relevant field.
· A minimum of five years of post-qualification work experience in a reputable organization with at two years of compliance or regulatory work experience;
· Strong leadership and communication skills;
· Significant experience in compliance, Auditing, Inspections and / or Investigations in a regulated or regulatory body is preferred;
· Broad knowledge (academic or practical) or experience of the non-bank (insurance, pensions) or financial sector will be an added advantage.
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 to Capital Markets Authority, 8th Floor, Jubilee Insurance Center, Plot 14 Parliament Avenue, P.O. Box 24565 Kampala. Uganda
E-mail to: email@example.com
Deadline: 4th November, 2016 by 5:00PM
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