Job Title: Compliance Manager
Job Description
Compliance Manager
Capital Markets Authority
The Capital Markets Authority (CMA) was established by virtueof the Capital Markets Authority Act Cap 84 Laws of Uganda as a semi autonomous body responsible for the promotion, development and regulation of the capital Markets industry in Uganda. The Authority would like to fill the following positions that exist within its establishment;
Compliance Manager
Job Titie:Compliance Manager
Reports to: Director Compliance
Legal
&
Strategic objective of the job:
Develop, implement, monitor and evaluate the regulatory compliance of licensed entities and issuers to the CMA laws and other relevant legislation and standards.
Key Result Areas:
Review licensee applications, prospectus and information memorandums and make recommendations in line with applicable laws and accounting standards;
Prepare compliance plans, coordinate, supervise and carry out inspections;
Review compliance reports and prepare reports on recommended enforcement action;
Prepare investigation plans, analyze investigation reports and prepare reports on recommended enforcement action;
Review and analyze financial and other performance reports of market intermediaries and listed companies;
Participate in review of CMA legislation and regulations Take charge of complaints handling from market intermediaries & the general public
Supervise Compliance Officers and evaluate performance of staff under their supervision;
Any other related duties that may be assigned from time to time.
Person specification:
Minimum qualification:
An honours Bachelor’s degree in Commerce or Business Administration with a bias in Accounting, Finance or
Auditing and full professional accountancy qualification such as ACCA or CPA with at least 4 years experience at a senior level in a reputable firm or organisation A Masters degree in a relevant field and basic legal qualifications will be an added advantage.
Minimum experience
Have at least 4years experience in compliance, auditing or investigations work in a reputable organisation. Experience in Corporate Risk Management or with a Stock Broking or Fund Management organisation will be an added advantage.
Age: Not above 35 years of age Relevant additional qualities & skills:
• Have good presentation, report writing and communication skills Have high level of integrity and professionalism Result & team oriented Ability to work under tight deadlines with minimum supervision
Desirable managerial & interpersonal skills Research, analytical and investigative skills
How to Apply
Applications will be accepted from Ugandan Nationals only. Interested applicants should submittheir applications clearly marked with the position applied for together with:
Current Curriculum including a day time telephone contact Names and contadts of three referees who can testify to the applicants abilities, working experience and integrity Photocopies of academic transcripts, certificates and/or testimonials not later than 15th June 2012 to:
The Human Resource & Administration Manager
Capital Markets Authority 14 Parliament Avenue Jubilee Insurance Centre 8th Floor,
P.O. Box 24565 Kampala, Uganda Or
Email: info@cmauganda.co.ug
Please check for further details on CMA website: www.cmauganda.co.ug Only shortlisted applicants will be contacted.
