Vacancies at Capital Markets Authority (CMA)

TEMPORARY LEGAL ASSISTANT-ENFORCEMENT – 1 POSITION.

Contract Period: Six (6) Months fixed term contract.

Reporting to the Senior Manager, Investigations and Enforcement, the selected candidate will be responsible for;

• Maintaining database of matters received for enforcement consideration;
• Liaise with relationship managers of different licences to confirm position of matters under enforcement;
• Preparing communications with clients, market participants and stakeholders;
• Assisting in arranging meetings with clients and various stakeholders;
• Preliminary review of investigation reports and preparing draft enforcement recommendations; 
• Assisting in the Preparation of Notices to show cause and Infringement Notices;
• Conducting research and drafting legal opinions; and
• Assisting in preparing enforcement reports as may be required from time to time.

Minimum Qualifications and Experience 

• Bachelor’s degree in Law 
• Minimum of one-year relevant experience

Key skills and Competencies 

• Display honesty, transparency, and integrity in all dealings;
• Show initiative and meet all deadlines with high quality work;
• Demonstrate good communication skills (written and oral) and teamwork; and
• Always dedicated to confidentiality.

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Responsibilities:

• Assist in investigating suspected cases of market manipulation and abuse and make appropriate recommendations.
• Assist in conducting forensic investigations and asset tracing and make appropriate recommendations.
• Facilitate alternative dispute resolution (ADR) mechanisms.
• Carry out intelligence gathering for the Investigations Unit.
• Assist in the preparation of monthly and quarterly investigations updates to Authority management and to the Commission on Administrative Justice (CAJ).
• Draft policy guidelines on investigations and reviewing the current legal and regulatory framework to enhance investor protection.
• Assist in undertaking investigations as part of fit and proper assessments.

Minimum Qualifications and Experience:

• Bachelor’s degree in Law (LL. B) OR Bachelor’s degree in Criminology or Accounting and or Bachelor of Arts.
• At least one-year relevant experience in an investigations environment will be an added advantage.

Key Skills and Competencies:

• Analytical and Research Skills
• Effective Communication and Interpersonal Skills
• Good Interviewing Skills and Professional Report Writing
• Critical Thinking Skills
• Team Player, Collaboration, Professionalism
• Integrity and Confidentiality

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Responsibilities:

• Assisting with all logistics and modalities of conducting physical and online forums.
• Assisting with investor protection interventions such as bulk SMS messaging, social media, and digitized content dissemination.
• Developing a revamped database of contacts and feedback on customer opinion pertaining to capital markets products and services.
• Creating content and utilizing social media platforms in reaching out to customers to help resolve issues and provide quick response to inquiries.
• Churning out capital markets product related content targeted to customer information and inquiries.
• Assisting with development of digitalized content on awareness.
• Conducting demand assessments and product reviews and make recommendations on existing legal framework, policies, procedures, and practices that will require review to enhance product uptake.
• Developing business intelligence reports to inform proposals on improvement in product uptake; and
• Undertaking any other assignments as assigned from time to time.

Minimum Qualifications and Experience:

• A Bachelor’s degree in any of the following courses: Finance, Communications, Economics, Business, or a related field.
• Basic computer skills
• At least one-year relevant experience

Key skills and Competencies:

• Display honesty, transparency, and integrity in all dealings
• Show initiative and meet all deadlines with high quality work
• Demonstrate good communication skills (written and oral) and teamwork
• Always dedicated to confidentiality.

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Key responsibilities for the position:

• Provide planning and logistical support to the directorate.
• Undertake administrative and support duties including mailing, scanning and copying to all the functions within the directorate.
• Prepare and format documents including correspondence, schedules, reports, drafts, memos and emails.
• Document management including referencing, filing, maintaining document movement registers among others.
• Provide administrative support to the directorate meetings, maintaining departmental leave and working schedules, scheduling appointments among others.

Minimum Qualifications and Experience:

• Bachelor’s degree or Diploma in Business Administration, Office Administration, Business Management, Secretarial Studies or business-related degree.
• Must be computer literate.
• A minimum of one year of relevant experience will be an added advantage.

Key Skills, Knowledge, and Competencies:

• Excellent communication, presentation and interpersonal skills.
• Display honesty, transparency, and integrity in all dealings.
• Must be detail oriented and a team player.
• Ability to be flexible and embrace change.

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Responsibilities:

• Review prospectuses and other information for potential issuers of securities to assess compliance with legal and regulatory framework and the level of disclosure of information to investors.
• Review applications for collective investment schemes, Real Estate Investment Schemes, Credit Rating Agencies, ESOPs, spot commodities and derivatives contracts, and other products to determine compliance with the Capital markets Legal and Regulatory Requirements.
• Review legal and other information submitted in support of applications for approval of various corporate actions by issuers of securities, such as approval of bonus, rights issues, share splits, to ensure compliance with Capital Markets Legal and Regulatory Framework.
• Review offer documents submitted in support of applications for approval of corporate restructuring transactions, such as Mergers & Acquisitions and private transfers.
• Review notices, announcements, advertisements and other required publications by issuers of securities, Investment funds and other products and make recommendations of their suitability for publication.
• Proactively engage applicants, potential candidates for approval and other stakeholders with a view of facilitating the licensing process within the Regulatory Framework and applicable standards.
• Undertake research on best practices relating to approval of issuers, CISs, ESOPs and other products to facilitate review of applications.
• Liaise with officers from Licensing and Financial Analysis and reporting divisions, to update the status of all outstanding licensing and approvals applications received by the Department.

Minimum Qualifications and Experience:

• Bachelor’s Degree in Law, Finance or Business -related.
• Minimum of one year of relevant experience would be an added advantage.

Key skills, Knowledge & Competencies:

• Display honesty, transparency, and integrity in all dealings.
• Show initiative and meet all deadlines with high-quality work.
• Demonstrate good communication skills and teamwork.
• Always dedicated to confidentiality.