CMA Surveillance Officer Job in Kenya

The Capital Markets Authority (CMA) is a statutory agency charged
with the responsibility of regulating and developing an efficient
capital market in Kenya. 
The Authority invites
applications from dynamic, goal – oriented, high performers, with strong
problem – solving skills for the following position:
Surveillance Officer
Ref: HCA/SO/3/2016
1 Post

Reporting to the Assistant Manager Surveillance, the selected candidate will be responsible for:

  • Monitoring, scrutinizing and recording all trades for the day;
  • Undertaking daily real-time surveillance of the securities exchange’s automated trading and CDS database and report any exceptional activities;
  • Monitoring and collecting market intelligence from various sources including newspaper articles, blog sites, rumors, complaints etc. and using the information gathered to inform surveillance of market activity;
  • Conducting preliminary investigation to trace the causation of unusual trading change, such as public disclosure of material information, any significant news or misstatements and make recommendations for further investigations if there are no apparent or sufficient factors to explain the case or any evidence that indicates malpractice;
  • Examining securities transactions showing irregular movements based on day-to-day surveillance of market movements;
  • Analyzing and identifying market manipulations and unusual price trends;
  • Daily market update at the end of trading session and prepare the Daily Market Surveillance report;
  • Conducting both regular and ad hoc visits to inspect and investigate trading activities of market participants and recommend appropriate actions;
  • Conducting offline surveillance and intelligence analysis post trading for potential evidence of malpractices;
  • Updating and maintaining the Surveillance database;
  • Making recommendations for further investigations and sanctions against specific non-complying market participants in violation of CMA laws, regulations and guidelines;
  • Relationship management for the licensees and listed companies allocated including attendance of their respective AGMs and EGMs;
  • Conducting quarterly inspections of the intermediaries as scheduled and reporting.
Minimum Qualifications and Experience


  • Bachelor’s Degree in Commerce, Mathematics, IT, Engineering or Actuarial Science;
  • Minimum of two (2) years relevant experience.
Key Skills, Knowledge & Competencies
  • Previous Operations experience within trading participants will be an added advantage;
  • Understanding of operations of security trading and settlement and best practice standards on market conduct;
  • Familiarity with the Capital Markets Act, Regulations, rules and guidelines;
  • Strong presentation and communication skills including ability to write reports;
  • Proficiency in computer applications such as Microsoft Word, Excel, Access, PowerPoint and Outlook express including financial and statistical packages;
  • Interpersonal and cross-cultural skills including ability to build alliances and collaborative relationships with sensitivity to diversity;
  • Ability to maintain high standards of integrity; establish straightforward, productive relationships; and
  • Ability to treat individuals with fairness and respect, demonstrating sensitivity for ethnic, cultural and gender differences;
  • Ability to meet tight deadlines as well as work with minimal supervision;
  • Ability to work effectively and efficiently in a team;
  • Organization and analytical skills.
How to Apply
Go to CMA Erecruitment Portal HERE to apply online

Online applications through the E- recruitment should be received on or before March 31, 2016.

Only online applications will be considered.
Note: Please upload a CV and one page Cover Letter only at this stage. 
No certificates or other testimonials will be required until interview
Capital Markets Authority is an Equal Opportunity Employer. 
Persons with disabilities are encouraged to apply.

Only shortlisted candidates will be contacted for interviews.

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