Legal and Compliance Officer Job at Uganda Securities Exchange Limited (USE)

Job
Title: Legal
and Compliance Officer

Organisation: Uganda Securities Exchange Limited (USE)
Ref: LCO/USE/2013
Reports
to:
Head, Legal and
Compliance

Job
Summary:
The Legal and
Compliance Officer is responsible for providing Legal support to the Exchange
to enable it function efficiently and be responsive to the organizational
needs.

Key
Duties & Responsibilities:
  • Assisting
    in developing annual departmental plans for the core responsibilities of
    the department, which plans should include:
    • Annual schedules for the
      review and development of the Exchange’s legal framework;
    • Annual schedule of Governing Council meetings, and Management
      Committee meetings
    • Annual staff work plans
      and targets for departmental staff;
    • Annual inspections of member
      firms;
    • Annual departmental work
      plans emanating from the corporate strategy’s activit
      y plan
  • Oversee
    the conduct of annual and adhoc inspections of members and the reporting
    thereof.
  • Provide
    guidance to the Compliance Officers of member firms.
  • Oversee
    the activities of Compliance Officers.
  • Apprise
    Compliance Officers of new developments in the legal framework and
    ensuring their update.
  • Act
    as General Counsel to the Exchange and its subsidiaries.
  • Render
    legal advice to the Exchange on matters as may be required including legal
    advice on the rules of the Exchange, contracts and agreements to be
    entered into by the Exchange and all other laws that have a bearing on the
    industry.
  • Render
    legal advice to the Subsidiaries of the Exchange as may be required
    including legal advice on the rules of the Exchange, contracts and
    agreements to be entered into by the Exchange and all other laws that have
    a bearing on the industry.
  • Maintain
    the legal framework of the Exchange.
  • Process
    and evaluate all applications to the Exchange.
  • Ensure
    regulatory compliance of the Exchange and its members.
  • Render
    support to the Exchange’s surveillance mechanism.
  • Drafting
    rules for the Exchange and writing reports and papers.
  • Participating
    in refresher forums for member firms on securities regulation.
  • Preparing
    materials for public education on legal aspects of the Securities’
    industry.
  • Assisting
    in the Company Secretarial function of coordinating and arranging Board
    meetings, committee meetings and compiling minutes whenever required.
  • Carrying
    out any other duties as may be assigned by the Chief Executive Officer.
Qualifications,
Skills & Experience:
  • Bachelor
    of Laws degree from a recognized University.
  • Post
    graduate diploma in legal practice.
  • A
    Master’s degree in Law or other field of relevance to the capital markets
    industry is an added advantage.
  • At
    least 3 years of working experience in a busy organization.
  • At
    least 3 years of working experience in a busy organization.
  • Ability
    to network with professionals in the financial sector and in the region.
  • Ability
    to critically analyze and solve legal and operational issues.
  • Ready
    and willing to learn and explore.
  • Teamwork
    Spirit and Innovation.
How
to Apply:
All interested individuals should
apply by submitting the following in a sealed envelope clearly marked
‘Application for Legal and Compliance Officer’ including;
  • A
    letter of interest (not more than two pages in length) describing
    knowledge, skills and abilities that relate to the criteria outlined in
    this recruiting announcement.
  • A
    detailed curriculum vitae (CV) with copies of relevant academic
    certificates attached.
  • Contact
    details of three professional and personal and address it to:
The Chief Executive
Uganda Securities Exchange
Limited
Plot 71/73 Kampala Road,
Prism Building, 4th Floor,
P.O. Box 23552, Kampala, Uganda

Deadline:
Friday 17th May, 2013.

N.B.
  • Any
    form of canvassing will lead to the automatic disqualification of your
    application.
  • The
    remuneration package for this position is competitive and is commensurate
    with the terms and conditions of the Exchange.
  • Only
    shortlisted candidates will be contacted.

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