2 Market Supervision Officer Career Opportunities - Capital Markets Authority (CMA)

Organisation: Capital Markets Authority (CMA)
Duty Station: Kampala, Uganda
Reports to: Director Market Supervision

About CMA:
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 Market Supervision Officer will join the Market Supervision Team whose mission is to promote a fair and transparent capital market through ensuring regulatory compliance. The incumbent will be responsible for the supervision of capital markets players in order to safeguard and protect investor interests by ensuring intermediaries and listed companies consistently comply with the conduct of business guidelines and uphold good corporate governance practices.

Key Duties and Responsibilities: 
  • Keenly review prospectuses/information memorandums for primary and secondary capital raising offers to the public, to ensure that investors are provided with complete financial and non-financial information on which to base their investment decisions. This will include conducting financial analysis and examination of financial statements of companies prior to their listing on approved exchanges.
  • Regularly review applications for approval or renewal of licenses of new or existing market intermediaries
  • Prepare for and undertake routine, ad-hoc and thematic inspections and investigations of market intermediaries and listed companies to monitor compliance with regulatory requirements aimed at enhancing the integrity of the capital markets. This includes examining financial disclosure records of market intermediaries and listed companies to determine and continuously monitor compliance with regulatory requirements.
  • Make recommendations for sanctions against non-complaint market intermediaries.
  • Carry out periodic engagements with licensees to keep them abreast of new and existing regulatory and compliance requirements
  • Keenly monitor corporate announcements by market players, and determine their compliance with reporting obligations
  • Receive and resolve complaints from potential license applicants, new issuers and the investing public on any concerns related to conduct of business by licensed intermediaries.

Qualifications, Skills and Experience: 
  • The applicant should hold a Bachelor’s degree in Business Studies, Commerce, Finance, Economics, Law, Statistics, or any other related field. Possession of a Post-Graduate
  • Training is desired
  • Possession of a partial or full professional or academic qualification in Finance, Investment, Pensions, Accounting, Law or other related field will be an added advantage.
  • A minimum of three years of relevant experience in the financial markets / pensions / insurance or related field with a reputable firm within the financial services sector.
  • Previous experience within the capital markets industry will be an added advantage.
  • Excellent interpersonal and communication skills;
  • Excellent analytical and organizational skills;
  • High levels of flexibility and ability to work under minimum supervision.

How to Apply:
All suitably qualified and interested candidates should submit their applications together with a recently updated CV (with references) via email to ppiwang@cmauganda.co.ug and copy  info@cmauganda.co.ug or to the CMA physical address on 8th Floor, Jubilee Center, Plot 14 Parliament Avenue, Kampala.

Deadline: 6th May, 2016 by 5:00 pm

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