The Ugandan Jobline

Job
Title: Legal
and Compliance Officer

• 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 activity 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.

• 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.

• 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:

• 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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