The Securities and Exchange Commission (SEC) is a body corporate established under the repealed Securities Act, Cap. 354 of the Laws of Zambia and whose existence is continued under the new Securities Act, No. 41 of 2016.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.

SEC now seeks to recruit qualified Zambians to fill the following positions:

Manager – Financial Market Intermediaries

4.1 Grade: SEC07

4.2 Job Purpose

To 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.

4.3 Key Result Areas and Principal Accountabilities

4.4 Required Competencies / Personal Qualities

i. 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; and
viii. Computer literacy.

4.5 Qualifications / Requirements

• Full Grade Twelve (12) School Certificate; and
• Bachelor’s degree in finance or its equivalent
• All qualifications must be ZAQA verified.

4.6 Minimum Relevant Work Experience

• Minimum of six (6) years’ relevant experience.