Manager – Financial Market Intermediaries

The Securities and Exchange Commission (SEC) is a body corporate established under the repealed Securities Act, Cap. 354 of the Laws of Zambia and whose existence is continued under the new Securities Act, No. 41 of 2016.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 Key Result Area Principal Accountabilities Supervisory Frameworks Manage development and enhancement of supervisory frameworks and tools. Offsite and Onsite Reviews Supervise conduct of offsite and onsite reviews of market intermediaries. Regulatory Compliance Monitoring Monitor and assess compliance levels among market intermediaries. Stakeholder Coordination Coordinate with regulators and stakeholders to enhance supervisory effectiveness. Performance Management Develop work plans and implement the performance management system. Supervision Supervise human, financial, and other resources under the unit. 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; andviii. 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. 4.7 Application Procedure • Applications must be submitted online only via the following link: https://www.surveymonkey.com/r/6N76K33 • No physical applications will be accepted; and• Deadline: 17:00 hours, Wednesday, 27th May 2026