Latest Recruitment at Capital Markets Authority

Contract Period: Six Months Fixed Term Contract

Reporting to the Manager Investigations, the selected candidate will be responsible for:-

1. Investor Complaints management including receiving, recording, and drafting both acknowledgment and communication including close out letters.
2. Engaging with investors, market intermediaries, public issuers, share registrars and other stakeholders on the alleged contraventions of the capital markets legal and regulatory framework.
3. Conducting investigations interviews and preparation of investigation reports on market abuse and malpractices.
4. Continuous liaison with the Capital Markets Fraud Investigations unit on all matters that are criminal in nature and being a state witness in court for punishment and deterrence.
5. Assisting in the preparation of monthly and quarterly investigations updates to Authority management and to the Commission on Administrative Justice (CAJ).
6. Drafting of policy guidelines on investigations and reviewing the current legal and regulatory framework to enhance investor protection.
7. Assisting in undertaking investigations as part of fit and proper assessments.
8. Attending Capital Markets Tribunal proceedings and preparing briefs on the hearing.
9. Adherence to the Authority documented ISO procedures and records management.
10. Undertake other assignments as assigned from time to time.

Minimum Qualifications and Experience

1. Bachelor’s degree in Law (LL. B) or completion of the Advocate Training Program at the Kenya School of Law; OR Bachelor’s degree in Criminology or Accounting and or Bachelor of Arts.
2. Computer proficiency in Ms office applications and basic computer analytical skills.
3. At least one-year relevant experience in an investigation’s environment will be an added advantage.
4. Have a valid Certificate of good conduct.

Key skills and Competencies

1. Analytical and Research Skills
2. Effective Communication and Interpersonal skills
3. Organization skills
4. Good interviewing skills and professional report writing
5. Critical Thinking skills
6. Team player, collaboration, professionalism
7. Integrity and confidentiality

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Contract Period: 6 months

Reporting to the Manager Surveillance the selected candidate will be responsible for.

1. Assisting in undertaking daily real-time surveillance of the securities exchange’s automated trading, the derivatives trading and CDS database and report any exceptional activities;
2. Assisting in monitoring market information from various sources including newspaper articles, blog sites, rumors, complaints etc. and using the information gathered to monitor trading in the market;
3. Assisting in examination stock transactions showing irregular movements based on day-to-day surveillance of market movements;
4. Assisting in preparation of daily market updates at the end of trading session;
5. Maintaining the statistical database in terms of market turnovers and volume traded for equities, bonds and derivatives markets;
6. Update the volatility worksheet for both the NSE and NASI indices;
7. Track and update the corporate actions database;
8. Collate and compile summaries as and when requested by immediate supervisor;
9. Update and maintain the surveillance KYC database; and
10. Undertake other assignments as assigned from time to time

Minimum Qualifications and Experience

1. A bachelor’s degree in Business, Law, Economics, Finance, Arts, IT /Management Information Systems or equivalent.
2. Basic computer skills/statistics/accounting/ or equivalent
3. Have a valid Certificate of good conduct.

Key skills & Competencies

1. Good communication skills and teamwork.
2. Analytical and Research Skills
3. Effective Communication and Interpersonal skills
4. Organization skills
5. Critical Thinking skills

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Contract Period: 6 months

Reporting to the Senior Manager Education, Awareness and Certification the selected candidate will be responsible for;

1. Assisting with all logistics and modalities of conducting physical and online forums;
2. Assisting with investor protection interventions such as bulk SMS messaging, social media and digitized content dissemination;
3. Developing a revamped database of contacts and feedback on customer opinion pertaining to capital markets products and services;
4. Creating content and utilizing social media platforms in reaching out to customers to help resolve issues and provide quick response to inquiries;
5. Churning out capital markets product related content targeted to customer information and inquiries;
6. Assisting with development of digitalized content on awareness;
7. 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;
8. Developing business intelligence reports to inform proposals on improvement in product uptake; and
9. Undertaking any other assignments as assigned from time to time.

Minimum Qualifications and Experience

1. A Bachelor’s degree in any of the following courses: Finance, Communications, Economics, Business or a related field.
2. Basic computer skills
3. At least one-year relevant experience
4. Have a valid Certificate of good conduct.

Key skills and Competencies

1. Professional and personal Integrity
2. Teamwork
3. Effective communication and Interpe

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No of Positions: 2

Contract Period: Six Months Fixed Term Contract

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

1. Maintaining database of matters received with enforcement considerations;
2. Liaise with relationship managers of different licences to confirm position of matters under enforcement;
3. Preparing communications with clients, market participants and stakeholders;
4. Assisting in arrangement and reporting on meetings with clients and various stakeholders;

1. Preliminary review of investigation reports and preparing draft enforcement recommendations;
2. Assisting in the Preparation of Notices to show cause and Infringement Notices for review;
   1. Conducting research and drafting legal opinions;

1. Assisting in preparing enforcement reports as may be required from time to time; and
2. Performing any other duties as assigned from time to time.

Minimum Qualifications and Experience

1. Bachelor’s degree in Law or completion of the Advocate Training Program at the Kenya School of Law.
2. Computer Proficiency
3. Minimum of one-year relevant experience
4. Have a valid Certificate of good conduct.

Key skills and Competencies

1. Display honesty, transparency and integrity in all dealings
2. Show initiative and meet all deadlines with high quality work
3. Demonstrate good communication skills (written and oral) and teamwork
4. Dedicated to confidentiality at all times.