Summary
Date Posted: Friday, June 19, 2020 , Base Salary: Not Disclosed

JOB DETAILS:
  The Capital Markets Authority (CMA) is a statutory body, established in 1996 by the Capital Markets Authority Act (Cap 84) as amended, to promote, develop and regulate the capital markets industry. CMA is governed by a Board of Directors appointed by the Minister of Finance, Planning and Economic Development.
The CMA is mandated by law to:
• Approve prospectus and other offering documents under which securities are offered to the public,
• Develop the capital markets through removal of impediments and the creation of incentives for longer term investments in productive enterprises.
• Create, maintain and regulate a market in which securities can be issued and traded in an orderly, fair and efficient manner.
• Cooperate with, any foreign regulatory authority in the performance of its duties;
• Implement regional and international standards and best practice in securities markets, securities regulation and supervision Protect investors; and
• Operate an investor compensation fund.
2 Market Supervision Officers
Reports To: Manager Market Supervision
Job Purpose Carry out supervision processes to enable the Authority regulate and maintain an orderly, fair and efficient capital market in accordance with the relevant laws, regulations, policies and procedures..

Responsibilities /Key Deliverables Position
Market Supervision Officer Financial analysis and preparation of quarterly Assets Under Management (AUM) and bi-annual capital reports for Fund Managers and Collective Investment
• Schemes in line with the regulatory requirements;
• Support the processing of approval of prospectus applications and other approval requests in line with regulatory requirements and the client service charter,
• Participate in regular monitoring of conduct of business of licensed persons in line with regulatory requirements,
• Organize and analyse national capital markets data and trends and develop a database of performance data for publication and other research purposes;
• Participate in offsite and onsite inspections of intermediaries In line with the inspections plan and timetable informed by risk and compliance assessment reports;
• Participate in tracking of compliance of intermediaries with the CMA CISI Certification requirements;
• Support the inquiry into the affairs or conduct of a licensed or approved person and gather information that will be used to hear and determine any findings concerning any acts or commission; capturing, seeking resolution and reporting of investor related complaints;
• Any other related duties that may be assigned from time to time.
Position 2 - Market Supervision Officer in Analysis and preparation of monthly net capital reports for
intermediaries;
Responsibilities:
• Support the processing of new and renewal license applications in line with the CMA Client Service Charter;
• Support the risk assessment and profiling processes in line with the departmental procedures and workplans;
• Participate in offsite and onsite inspections of intermediaries in line with the inspections plan and timetable informed by risk and compliance assessment reports;
• Support the follow up and reporting on prior period inspections findings for licensed and approved persons;
• Assist in carrying out surveillance over securities to ensure orderly, fair and equitable dealings in securities;
• Assist in fact finding / carrying out of preliminary investigations following tips, complaints or other alerts relating to persons not approved by the Authority to carry out regulated securities business and provide technical inputs for further investigation or enforcement action where necessary;
• Any other related duties that may be assigned from time to time.

Job Skills: Not Specified

Person Specification
Education & Training
• Bachelor's degree in Accounting, Finance, Economics, Law or other relevant degree from a reputable university;
• Full or part qualification from the Chartered Institute for Securities & Investment (CISI) or the Chartered Financial Analyst (CFA) is an added advantage.
• Must have: At least Two (2) year's relevant work experience gained from a reputable private or public sector organization, accounting, audit or law firm;
• Experience in the capital markets industry is an added advantage; Effective report writing skills; Team working skills.
• Business Behaviors High Integrity & professionalism; Ability to work under tight deadlines with minimal supervision;
• Desirable interpersonal skills;
• Effective oral & written communication and presentation skills

Job Education: Not Specified

Job Experience: Not Specified

Work Hours: 8

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Job application procedure
  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 by Friday 26 June 2020, BEFORE 5:00 PM.
Applications should be addressed to: The Human Resource & Administration Officer Capital Markets Authority, 8th Floor, Jubilee Insurance Center, Plot 14 Parliament Avenue, P.O Box 24565 Kampala. Email: info@cmauganda.co.ug 
NOTE: • Only shortlisted candidates will be contacted.
Your application will only be reviewed if you have fulfilled all the above stated requirements, including submission of documents in standard file types. Zipped files, links and / or multiple attachments are not acceptable

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