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.

The work of the CMA is also governed by the Securities Central Depositories Act, 2009 and the Collective Investment Schemed Act, 2003.
To deliver on its mandate efficiently and effectively, CMA is seeking to hire a qualified and self-motivated individuals to fill the position of MARKET SUPERVISION OFFICER- LICENCING as follows;

Job Title:
MARKET SUPERVISION OFFICER – LICENCING
Reports To:
DIRECTOR MARKET SUPERVISION

Job Purpose
To undertake activities in licensing, corporate approvals and provide compliance support.

Responsibilities /Key
Deliverables
• Review applications for new licenses and renewal of licenses and compile license application review matrices in line with the Capital Markets Authority regulatory framework, the client service charter and the market operations procedures manual.
• Review applications for approval of prospectuses and other approvals and compile application review matrices in line with the Capital Markets Authority regulatory framework, the client service charter and the market operations procedures manual.
• Support financial analysis of licensed and approved persons in line with the Capital Markets Authority Act, Collective Investment Schemes Act and the Market Operations Procedures Manual.
• Support CMA’s investor complaints management process to ensure timely resolution or escalation to investigations and enforcement in line with the client service charter timelines and the operations procedures manual.
• Any other related duties that may be assigned from time to time.

Person Specification
Education & Training
• Bachelor’s degree in Accounting, Finance, Economics, Law or other relevant degree from a reputable university;
• Part qualification from the Chartered Institute for Securities & Investment (CISI) or the Chartered Financial Analyst (CFA) is an added advantage

Skills & Experience Must have:
• At least 2 (two) 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;

Business Behaviors
• High Integrity & professionalism;
• Excellent communication skills;
• High level of agility;
• Interpersonal skills;
• Initiative;
• Ability to multitask

Method of Application

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 8TH October 2021, 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: [email protected]

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.