Compliance Manager needed at Carpital Markets Authority Uganda

Carpital Markets Authority

Job title: Compliance Manager
Employment type: Short-term/contract
Country: Uganda
Min. years of experience: 4 years
Minimum degree: Bachelors degree

Job Purpose
Coordinate, monitor and evaluate the regulatory compliance of licensed entities and issuers to the CMA laws and other relevant legislation and standards.
He/ She reports to Director Legal & Compliance
Key Result Areas:
      Review licensee applications, prospectus and information memorandums and make recommendations in line with applicable laws and accounting standards;
      Oversee Preparation compliance plans, coordination, supervision and inspections;
       Review compliance reports and prepare reports on recommended enforcement action;
       Review investigation plans, analyze investigation reports and prepare reports, financial and other performance reports of market intermediaries and listed companies;
       Manage and supervise the team of staff in the division for superior performance.
       Provide technical expertise in review of CMA legislation and regulations.
       Ensure that all relevant reports including semi-annual and annual reports, are submitted in accordance with the requirements.
      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.

Qualifications:
• Bachelor’s degree in Commerce or Business Administration with a bias in Accounting, Finance or Auditing.
• 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 is a must.
• A Masters degree in a relevant field and basic legal qualifications will be an added advantage.
Minimum experience
• Have at least 4 years experience in compliance, auditing and investigations work in a reputable organisation.
• Experience in corporate risk management or with a Stock Broking or Fund Management organisation or the Financial Services Industry will be an added advantage.
Age: Not above 40 years of age
Contact/How to apply:
Interested candidates should send their application and detailed CV by email to: placements@futureoptionsug.com or by post/ courier to the address below: The Director, Executive Recruitments, Future Options Consulting Ltd, 4thFloor, Diamond Trust Building, Kampala Road, P.O. Box:34934, Kampala, Uganda.
Closing date: March 4, 2013 - 5pm