Director Market Supervision Employment Vacancy – Capital Markets Authority (CMA)

Organisation: Capital
Markets Authority (CMA)
Duty Station: Kampala,
Reports to: Chief Executive
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 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
In charge of monitoring market intermediaries
and stock exchanges to ensure they comply with the regulatory framework of the
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
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
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
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
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:
Deadline: 4th
November, 2016 by 5:00PM
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