1. Job Title: Compliance Manager
Reports to: Director Legal & Compliance
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.
Requirement:
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 organization
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
Salary: - USD/month
How to apply:
Applications will be accepted from Ugandan Nationals only. Interested applicants should submit their applications clearly marked with the position applied for together with:
• Current Curriculum including a
day time telephone contact
Names and contacts 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 Resources 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.
Compliance Manager Capital Markets Authority
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