Capital Markets Authority (CMA) Vacancies

Legal Officer - Legal Framework
Ref: HCA/LOF/10- One Post

Reporting to the Assistant Manager, Legal Framework, Legal Affairs Department, the selected candidate will be responsible for:

Reporting to the Assistant Manager, Legal Framework, Legal Affairs Department, the selected candidate will be responsible for:

• Interpretation and review of the Capital Markets Legal framework
• Assist with the development of Capital Markets Legislation

The ideal candidate should possess:

• Bachelors of Law (LLB) degree and be an Advocate of the High Court of Kenya
• A minimum of 2 years working experience in the legal field
• A strong understanding of the capital markets operations and institutional policy
• Experience in the practice of corporate commercial law and transaction advisory
• A strong understanding of the Kenyan legislative system
• A strong research background
• Practicing certificate

Legal Officer- Licensing and Approvals
Ref: HCA/LOA/10– One Post

Reporting to the Head, Licensing and Approvals, the selected candidate will be responsible for:

• Reviewing applications for licensing and approval of market intermediaries
• Reviewing applications for offers of public and new or additional listing at the securities exchange
• Reviewing applications for approval of products to be offered to the public in line with capital markets regulatory requirements

The ideal candidate must possess:

• Bachelors of Law (LLB) degree and be an advocate of the High Court of Kenya
• Minimum of 2 years relevant work experience in legal affairs
• Practicing certificate
• A high level of attention to detail
• Good analytical skill
• Verbal communication and report writing skills
• Skills in legal framework
• Capital Markets industry experience will be added advantage

Investigation Officers
Ref: HCA/IO/10
Two Posts

Reporting to the Assistant Manager, Investigations and Enforcement the selected candidate will be responsible for:

• Investigating complaints by investors and other market players against licensees and listed companies
• Examine findings from surveillance and inspection activities to identify violations of the Capital Markets Act and Regulations.

The ideal candidate should possess:

• A degree in Law, Finance, and Economics or in a related field.
• At least two years experience in financial assessments
• A good understanding of the operations of a stock market
• Strong report writing skills.
• A relevant audit or legal background and experience in the capital markets sector will be an added advantage.
• At least 3 years relevant work experience
• Ability to work independently and coordinate a large portfolio of cases

Senior Legal Officer – Enforcement
Ref: HCA/SLO/10
One Post

Reporting to the Assistant Manager, Investigations and Enforcement, Legal Affairs Department, the selected candidate will be responsible for:

• Reviewing investigations reports
• Providing guidance on the need for further investigation or evidence
• Developing recommendations on enforcement action
• Maintaining a database of enforcement action and implementing administrative actions taken by the Authority
• Liaising with external counsel for the Authority

The ideal candidate must possess:

• A Bachelor’s of Law (LLB) Degree and be an advocate of the High Court of Kenya
• Minimum of 3 years in regulatory or public/private prosecution
• Thorough knowledge of civil and criminal procedures
• A valid practicing certificate

Assistant Manager – Investigations and Enforcement
Ref: HCA/AME /10– One Post

Reporting to the Manager, Legal Affairs Department, and the selected candidate will be responsible for:

• Managing the portfolio of investigations and enforcement
• Driving investigation processes and ensuring completion within the set timelines
• Preparation of investigation reports and providing guidance on the need for further investigations or evidence

Assistant Manager Internal Audit
Ref: HCA/ASIA/10
One Post

Reporting to the Chief Executive, the Assistant Manager - Internal Audit will be responsible for:

• Overall review of operational procedures, systems, practices and records to ensure conformity with laws, regulations and policies and consistency with the Authority’s established objectives and goals.
• Assessing the adequacy of systems and procedures and evaluate internal controls and processes. Appraise the relevance, reliability and integrity of management, financial and operating systems.

For the above positions, the Authority is looking for strong team players with, excellent communication skills, strong work ethics, effective interpersonal skills, report writing skills, adaptability, initiative, high integrity, self drive for high performance and a team player.

If your background, experience and competence match the above specifications, please send your application, quoting the reference of the position you are interested in, including your current curriculum vitae, salary history, three referees (one of who must be either your current or previous employer), day telephone number, e-mail address and details of your current salary and benefits to:

Chief Executive
Capital Markets Authority
P.O Box 74800 – 00200
Nairobi