The Capital Markets Authority (CMA) is a statutory agency charged with the responsibility of regulating and developing efficient Capital Markets in Kenya.

REF: CMA/ SEO/07/2023 – 1 POST

Job Purpose

Reporting to the Manager Enforcement, the Senior Enforcement Officer will be responsible for review, assessment, and analysis of reports with enforcement recommendations with respect to regulatory breaches and recommending appropriate actions, representing the Authority in litigation cases relating to matters under investigation and enforcement and/or providing required information to compile pleadings on behalf of the Authority in such cases. This is a position under permanent and pensionable terms of service.

Job Responsibilities

• Implementing enforcement programs, systems, manuals and procedures;
• Reviewing enforcement recommendations, preparing opinions and making appropriate recommendations;
• Planning, and coordinating the preparation and review of documentation for the prosecution and defence of cases with respect to regulatory breaches;
• Representing the Authority in hearings in courts, tribunals and other fora;
• Identifying and preparing witnesses to testify on behalf of the Authority in hearings;
• Implementing capital market intelligence gathering frameworks for the Unit;
• Providing timely feedback to various parties in enforcement matters;
• Preparing periodic enforcement reports to internal and external stakeholders as may be required;
• Conducting legal research to inform enforcement strategies; and
• Ensuring maintenance of a records management system for all investigation matters.

Qualifications

Minimum Requirements

• Bachelors Degree in Law;
• Admission as an Advocate of the High Court of Kenya and member of the Law Society of Kenya;
• At least four (4) years related work experience;
• A supervisory course lasting not less than two (2) weeks is an added advantage; and
• Member of professional body in good standing where applicable.

Key skills, Knowledge & Competencies

• Understanding of investigations and enforcement of capital markets operations as well as financial sector operations;
• Understanding of the Kenyan legislative and judicial system;
• Report writing skills;
• Professional skepticism;
• Legal Analysis;
• Negotiation skills and dispute resolution; and
• Ability to maintain high standards of integrity; establish straightforward, productive relationships.