JOB ANNOUNCEMENT FOR LEGAL & COMPLIANCE OFFICER
JOB TITLE: Legal and Compliance Officer (1 Post)
DEPARTMENT: Legal and Compliance
DIRECTLY REPORTS TO: Manager, Legal and Compliance
DATE: 14th October 2019
DEADLINE: 1st November 2019 at 5pm
Uganda Securities Exchange Limited (USE), a CMA licensed financial institution that operates the Securities market in Uganda is looking for a qualified, dynamic and self-motivated person to serve as an officer in the Legal and Compliance department. JOB PROFILE Ensures compliance by trading participants and listed companies; provides legal and regulatory research expertise in the continuous development and review of the rules and regulations of the USE; Advises market participants on the USE Rules and Procedures and the Capital Markets Act and Regulations; and acts as liaison between USE and other market participants including CMA on market regulation issues.
KEY DUTIES AND RESPONSIBILITIES
1. Reviews all disclosure announcements, mandatory notices and publications made by listed companies in line with their continuing obligations to ensure compliance with the CMA and USE Rules and Regulations;
2. Reviews existing Rules and supports drafting of new Rules and /or amendments to the Rules of the Exchange
3. Interprets and provides guidance to listed Companies and Trading Participants on the application of the Exchanges Rules and procedures.
4. Reviews annual and interim financial results submitted by listed companies to ensure compliance with CMA Regulations and USE continuing listing obligation requirements;
5. Reviews and prepares preliminary reports on new listings and additional listings
6. Supervision and Monitoring of Trading Participants to ensure compliance with requirements of the Exchange’s rules and procedures; including conducting routine and adhoc compliance inspections.
7. Provide In-house Legal advisory services to the various departments of the Exchange.
8. Support the management of the Internal compliance matrix to ensure compliance with business policies and adequacy of procedures, their proper documentation and periodic review
9. Market Surveillance Support and Investigation of market Complaints
10. Performs any other duties as may be assigned from time to time;
1. A Bachelors of Law Degree (LLB)
2. A Diploma in Legal Practice from the Law Development Centre ( Dip. LP )
3. Possession of other relevant professional qualification will be an added advantage
4. Minimum of three (03) years experience in the industry or similar environment
I. Sound knowledge of Securities Law and Corporate law
II. Research and analytical skills
III. Excellent verbal and written communication
V. Proficiency in Microsoft Office Applications
Interested individuals should apply by submitting scanned copies of the following documents (as one consolidated document) via email address firstname.lastname@example.org titled “Application for Legal and Compliance Officer”, not later than Friday 01st November 2019 at 5:00 pm
A letter of interest (not more than two pages in length) describing knowledge, skills and abilities as they relate to the criteria outlined in this recruitment announcement.
Detailed curriculum vitae with copies of relevant academic certificates attached.
Contact details of two professional and one personal referee.
Applications should be addressed to:
The Manager Legal and Compliance
Uganda Securities Exchange Limited
P.O Box 23552
Any form of canvassing will lead to the automatic disqualification of your application. The remuneration package for this position is competitive and in line with the Employee rewards policy of the Exchange.