Risk and Compliance Officer
Posted:
Company Details
Name:Nabo Capital
Industry:
Banking
Website:
https://nabocapital.com/
Description:
Nabo Capital is a 3rd generation investment firm with over 50 years experience of investing for institutions and individuals with an Africa-wide focus. Our core business revolves around the management of traditional asset classes such as equities, money markets and fixed-income portfolios. We also t…
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Job Details
Job Type:
Full Time
Workplace Type:
On-site
Qualification:
Diploma
Job Experience:
Mandatory
Job Location:
Nairobi County, Kenya
Closing Date:
Undisclosed
Salary:
Undisclosed
Other Pay:
Benefits
Job Category:
Legal
Job Description
Responsibilities:
Regulatory Compliance & Liaison
- Act as the designated Compliance Officer in accordance with the requirements of the Capital Markets Authority (CMA) Regulations.
- Serve as the primary liaison with regulators including the Capital Markets Authority and the Office of the Data Protection Commissioner.
- Coordinate regulatory filings, statutory returns, disclosures, and incident reporting.
- Monitor and advise management on regulatory developments affecting fund management operations.
Enterprise Risk Management (ERM)
- Develop, implement, and maintain the firm’s Enterprise Risk Management framework aligned with global best practices.
- Identify, assess, and monitor key risks across the organization.
- Maintain a comprehensive Risk Register and report key risk indicators (KRIs) to Senior Management
- Oversee Business Continuity Planning (BCP) and disaster recovery readiness
Compliance Monitoring & Testing
- Develop and implement a Compliance Monitoring Plan approved by the Board.
- Conduct periodic compliance reviews across:
- Portfolio management activities
- Marketing materials
- Fund disclosures
- Investor onboarding processes
- Monitor and ensure compliance with all the policies of the company
- Report breaches and recommend corrective actions
- Develop and deliver periodic compliance related trainings
Contractual & Legal Risk Management
- Review and manage key agreements including:
- Investment management agreements
- Custodian and Trustee agreements
- Vendor contracts
- Oversee litigation management, including coordination with external counsel, litigation processes and reporting.
Governance & Board Reporting
- Support the Company Secretary with board administration and board governance matters, including convening of meetings and other relevant matters.
Qualifications
- Bachelor’s degree in Law (LL.B), Social Sciences, or Statistics. A Master’s degree or professional certifications in corporate/commercial law or data protection such as CIPP/E is an added advantage.
- Professional certifications in corporate governance, compliance or data protection (e.g. ICS, ICPAK) is highly desirable.
- Minimum of 2 years’ experience in risk and compliance in a corporate and commercial firm or capital markets environment.
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