The Securities and Exchange Commission (SEC) is a body corporate established under the repealed Securities Act, Cap. 354 of the Laws of Zambia and whose existence is continued under the new Securities Act, No. 41 of 2016. SEC has the objective of inter alia regulating and developing the Zambian Capital Markets and is responsible for the supervision and development of the Capital Markets in Zambia as well as the licensing of financial intermediaries, collective investment schemes and securities exchanges, the registration of securities to be issued such as debt and equity instruments, and the authorization of transactions in entities registered with SEC.
\nSEC now seeks to recruit qualified Zambians to fill the following positions:
\nManager \u2013 Financial Market Intermediaries
\n4.1 Grade: SEC07
\n4.2 Job Purpose
\nTo manage the supervision of Dealers, Investment Advisors and other capital market intermediaries in order to promote high standards of integrity, ensure compliance with the regulatory framework and enhance investor protection.
\nProfessional networking events<\/p>\n
4.3 Key Result Areas and Principal Accountabilities<\/p>\n
Key Result Area
\nPrincipal Accountabilities<\/p>\n
Supervisory Frameworks
\nManage development and enhancement of supervisory frameworks and tools.<\/p>\n
Offsite and Onsite Reviews
\nSupervise conduct of offsite and onsite reviews of market intermediaries.<\/p>\n
Regulatory Compliance Monitoring
\nMonitor and assess compliance levels among market intermediaries.<\/p>\n
Stakeholder Coordination
\nCoordinate with regulators and stakeholders to enhance supervisory effectiveness.<\/p>\n
Performance Management
\nDevelop work plans and implement the performance management system.<\/p>\n
Supervision
\nSupervise human, financial, and other resources under the unit.<\/p>\n
4.4 Required Competencies \/ Personal Qualities
\ni. Strong supervisory and leadership skills;ii. Sound knowledge of capital market regulations and supervisory practices;iii. Analytical and investigative skills;iv. High level of integrity and confidentiality;v. Good interpersonal and stakeholder management skills;vi. Initiative and ability to work with minimal supervision;vii. Strong written and oral communication skills; andviii. Computer literacy.
\n4.5 Qualifications \/ Requirements
\n\u2022 Full Grade Twelve (12) School Certificate; and\u2022 Bachelor\u2019s degree in finance or its equivalent\u2022 All qualifications must be ZAQA verified.
\n4.6 Minimum Relevant Work Experience
\n\u2022 Minimum of six (6) years\u2019 relevant experience.
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