• Career Opportunities at The Capital Markets Authority (CMA)

  • Posted on: 9 February, 2017 Deadline: 17 February, 2017
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  • The Capital Markets Authority (CMA) is a statutory agency charged with the responsibility of regulating and developing efficient Capital Markets in Kenya. 

    Financial Analyst

     

    REF: DCS / FA/03/ 2017

    Reporting to the Assistant Manager, Financial Analysis, the Financial Analyst will undertake the following:

    1. Review applications for approval and licensing of market intermediaries
    2. Review prospectuses for potential or actual material accounting or financial reporting deficiencies to ensure investors are provided with accurate information on which to base their investment decisions
    3. Conduct analysis of financial statements submitted in support of applications by issuers of securities such as approval of bonus, rights issues and Initial Public Offers as well as corporate bonds, commercial papers and asset backed securities to ensure compliance with capital markets rules and regulations
    4. Conduct analysis and examination of financial statements of companies prior to the listing or issue of their securities
    5. Review analysis of financial data and method used by issuers of securities to arrive at the prices at which securities should be offered to the public in order to determine their objectiveness
    6. Analyze financial statements to ensure that financial reporting of licensees and issuers of securities is in line with the requirements of IFRS
    7. Maintain and update databases relating to financial data, including submission of accounts, publication of financial statements, summaries of financial analysis, etc,
    8. Compare financial information submitted to the authority by licensees and issuers of securities with the published financial statements and highlight any inconsistencies
    9. Monitor changes in IFRS and note if the same is being adopted by licensees and listed companies
    10. Assist in the review of indicators and incidents of financial fraud, creative accounting, fraudulent market operations like insider trading and money laundering as well as failures to meet regulatory obligations and provide evidence needed for administrative and legal sanctions in line with CMA requirements; and
    11. Any other duties as may be assigned from time to time

    Minimum Requirements

    1. Bachelor’s Degree in Business Studies, Finance, Accounting or any other related field
    2. Professional qualifications in CPA, CFA, ACCA or equivalent

    Experience:

    Minimum of two (2) years’ experience in audit of big companies, preparation of financial statements, analysis of company accounts or equivalent experience.

    Key skills, Knowledge & Competencies

    1. Knowledge of financial and accounting procedures in relation to capital markets operations as well as financial sector operations
    2. Knowledge and understanding of IFRS and their application in the preparation of financial statements
    3. Ability to effectively interpret financial information
    4. Good presentation and communication skills including the ability to write proper reports
    5. Proficiency in computer applications such as Microsoft Word, Excel, Access, PowerPoint and Outlook
    6. Interpersonal and cross-cultural skills
    7. Demonstrate the right attitude towards work and willingness to continuously learn
    8. Ability to maintain high standards of integrity; establish straightforward, productive relationships
    9. Ability to treat individuals with fairness and respect, demonstrating sensitivity for ethnic, cultural and gender differences.
    10. Ability to work well in a team
    11. Ability to meet tight deadlines as well as work with minimal supervision
    12. Strong organization and analytical skills as well as keenness to details

    go to method of application »

    Investigations Officer

     

    REF: DCS / IO/02/ 2017

    Reporting to the Assistant Manager, Investigations, the Investigations Officer will undertake the following:

    1. Investigate capital markets financial crimes, conducting forensic analysis of financial data and prepare forensic reports from financial findings
    2. Perform forensic research to trace funds and identify assets for recovery
    3. Prepare analytical financial information for litigation and testify if need be
    4. Receiving complaints from investors and other stakeholders and identify capital market violations to be investigated
    5. Formulation of investigations plans and identification of the various stakeholders who are affected and require to be informed and involved on the matter under review
    6. Investigating complaints and obtaining relevant evidence to support investigation findings
    7. Actively engaging with the Capital Markets Fraud Investigations Unit on violations with criminal elements
    8. Engaging all other departments within the Authority to enhance efficiency in instigation matters
    9. Receiving and reviewing information on illegal operations of unlicensed market intermediaries and carry out background checks and site visits; and
    10. Undertaking any other responsibilities assigned

    Minimum Requirements:

    1. Bachelor’s degree in Law, Finance, Commerce or any other related field
    2. Professional qualification such as CFE, CPA or equivalents is an added advantage
    3. Membership to relevant professional body is an added advantage

    Experience:

    Minimum of two (2) years relevant work experience preferably in forensic financial audits or computer forensics

    Key skills, Knowledge & Competencies

    1. Skills in forensic accounting and ability to think analytically and to pay great attention to detail
    2. Sound understanding of potential capital markets fraud schemes and the Capital Markets Regulatory Frame work
    3. Strong presentation and communication skills including ability to write reports
    4. Proficiency in computer applications such as Microsoft Word, Excel, Access, PowerPoint and Outlook express including financial and statistical packages
    5. Interpersonal and cross-cultural skills including ability to build alliances and collaborative relationships with sensitivity to diversity
    6. Ability to maintain high standards of integrity; establish straightforward, productive relationships
    7. Ability to treat individuals with fairness and respect, demonstrating sensitivity for ethnic, cultural and gender differences
    8. Ability to meet tight deadlines as well as work with minimal supervision
    9. Ability to work effectively and efficiently in a team
    10. Organization and analytical skills

    go to method of application »

    Technical Expert – Forensic Investigations

     

    REF: DCS /TE/01/ 2017 –CONTRACT

    Reporting to the Manager, Investigations and Enforcement, the Technical Expert – Forensic Investigations will undertake the following:

    1. In liaison with the Manager Investigations and Enforcement, support the development and implementation of the investigation strategy and methodologies for the section
    2. Build capacity of the Unit especially in forensic investigations and ensure knowledge transfer within the contract period
    3. Supervise investigations to establish capital market violation (including financial statement fraud and market manipulation) occurrence and gather relevant documents and testimony from involved parties
    4. Conduct forensic reviews of complex financial, accounting and trading records and coordinate interviews with suspects, prepare actionable reports on findings and support enforcement unit, external lawyers and prosecutors by offering expert testimony where applicable
    5. Develop work-plans to detect, deter or respond to reports of illegal activities in the capital markets. Review complaints received regarding violations of capital market rules and regulations such as unauthorised trades, financial statements fraud, market manipulation and insider trading to establish whether the elements of the offense can be evidenced in order to inform decisions on applicable Sanctions
    6. Review investigations reports and evidence on financial statement frauds and market violations reported and provide recommendations on actionable evidence
    7. Liaise with the relevant government enforcement agencies; Registrar General, Commission on Administrative Justice, Directorate of Public Prosecution, Ethics and Anti-Corruption Commission, National Police Service, Capital Markets Fraud Investigation Unit and the Directorate of Criminal Investigations with regard to investigations and recommendations for possible criminal actions in cases where warranted
    8. Control field work forensic Investigations on non-compliance with the capital markets regulatory framework and organise field investigations to ensure quality reporting and timeliness
    9. Investigate complaints raised by investors, market players or any other stake holder against licensed market intermediaries and listed companies
    10. Review surveillance reports and inspection reports to identify violations of the Capital Markets Act and Regulations and initiate timely investigations on alleged improprieties

    Minimum Requirements

    1. Bachelor’s degree in Law, Finance, Economics or any other related field
    2. Possess an accounting qualification CPA(K) or equivalents
    3. Professional forensic qualification such as CFE or equivalents is an added advantage
    4. Membership to relevant professional body is an added advantage

    Experience:

    Minimum of six (6) years relevant work experience preferably in forensic financial audits in the financial sector.

    Key skills, Knowledge & Competencies

    1. Strong understanding of possible Financial Statement Frauds Schemes and Capital Markets Fraud Schemes
    2. Strong understanding of the Kenyan legislative and justice system
    3. Strong skills in investigations, interviewing skills, examination of documents, analyzing of data as well as efficiency and objectivity in reviewing investigations reports
    4. Strong presentation and communication skills including ability to develop proposals, concept papers, position papers as well as investigation reports
    5. Proficiency in computer applications such as Microsoft Word, Excel, Access, PowerPoint and Outlook express including financial and statistical packages
    6. High level interpersonal and cross-cultural skills including ability to build alliances and collaborative relationships with sensitivity to diversity
    7. Ability to maintain high standards of integrity; establish straightforward, productive relationships
    8. Ability to treat individuals with fairness and respect, demonstrating sensitivity for ethnic, cultural and gender differences
    9. Knowledge of strategic management, project planning and budgeting, resource management, implementation as well as monitoring and evaluation
    10. Ability to develop and implement performance management systems, giving candid performance feedback, rewarding desirable behaviors and providing support to professional development efforts linked to strategic objectives
    11. Ability to empower staff by removing obstacles hindering the achievement of strategic objectives, focusing and deliver results and delivering what is promised, on time and within budget
    12. Ability to conceptualize, innovate, plan and execute ideas and to transfer knowledge and skills
    13. Ability to deliver results and to manage change
    14. Ability to transfer knowledge to team members

    Terms of Employment

    This is a One -Year Contract with attractive remuneration and benefits renewable at the option of the Authority

    go to method of application »

    Administration Assistant

     

    The position is responsible for providing administrative support to Human Capital & Administration department.

    Reports to: Administration Officer

    Contract Period: 6 Months renewable on need basis

    Main Duties and Responsibilities:

    1. Coordinate transport logistics at the Authority under the guidance of the Administration Officer
    2. Coordinate repairs of office equipment, facilities and motor vehicles in line with the maintenance plan
    3. Coordinate delivery of mail and other correspondences
    4. Prepare monthly utilization reports on office utilities and other related services
    5. Liaise with office utility service providers and ensure compliance with set service level agreements
    6. Any other duties as may be assigned from time to time.

    Minimum Requirements

    1. Bachelor’s Degree in Business Management, Business Administration, Public Administration or Human Resource Management.
    2. A minimum of one year of relevant experience

    Skills and Competencies

    • Integrity and honesty
    • Ability to harness team work
    • Ability to multi-task
    • Self-management and attention to details
    • Team player
    • Attention to detail
    • Professionalism
    • Excellent communication and interpersonal skills.
    • Negotiation skills.

    Method of Application

    If you meet the above requirements, please log into our portal (link below) and follow the steps to submit an online application.

    Applications should be received on or before February 17, 2017

    Only shortlisted candidates will be contacted for interviews.

    Capital Markets Authority is an Equal Opportunity Employer. Persons with disabilities are encouraged to apply”

    Interested and qualified? Go to Capital Markets Authority (CMA) career website on portal.cma.or.ke to apply

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