Key Responsibilities

• Liaise with departments to carry out compliance risk events data collection, analysis and preparation of reports including recommendations to mitigate all non-compliance exposures.
• Carry out status and performance reviews and ensure compliance with BAU compliance responsibilities for KCB Investment Bank.
• Plan, monitor, support organization of Compliance, Reputational risk and Ethics compliance policies standards training across the departments.
• Review of BAU activities to oversee reputational risk, compliance, ethics and operational, processes and procedures, reporting any findings to the Senior Manager, Risk & Compliance and KCB Group Head, Compliance & Ethics and giving recommendations for improvements.
• Maintaining continuous engagement with departments to carry out compliance risk monitoring, analysis and reporting on New Products, and Projects.
• Maintain monitoring and tracking of Reputational Risk & Ethics Incidents and Facilitate training.
• Review industry rules and regulations ensuring Capital Market Authority, Nairobi Securities Exchange & Central Depository Settlement Corporation regulatory requirements are compiled with and/or operationalized in the business.
• Continuously monitor changes in the regulatory framework and ensure that contractual documents, policies and procedures are up to date and comply with those changes/ reviews.
• Monitor all Advisory, Brokerage and Wealth Management transactions and advise on their potential adverse implications for KCB Investment Bank while ensuring the implementation of mitigating strategies.
• Continuously review and confirm that all Risks (Credit, Market, Legal and Operational Risks) affecting the Business have been identified, assessed and controlled.
• Monitor and ensure compliance with all regulatory and obligatory reporting requirements within the stipulated timelines.
• Monitor the Unit’s Risk Register & KRIs; calculation of Risk Based Capital as per CMA requirements.

Qualifications/Requirements

• Business related degree from an institution recognized by Commission for Higher Education.
• Professional qualification in ACCA / CPA (K) / CFA / AKIB or MBA is an added advantage.
• Minimum of 4 years’ experience in Financial Services Industry; 3 years’ of which must have been in compliance, monitoring & reporting as per CMA, NSE & CDSC regulatory requirements.
• Appreciation of Risk Management with thorough knowledge of Advisory, Brokerage, Wealth Management / Investment Banking products & services; internal controls, operations and regulatory environment
• Team player with demonstrated work ethics; consistently demonstrates a high level of professionalism.
• Effective prioritization skills to meet a complex set of business demands and demonstrate delivery against multiple objectives.
• Assertive, self-motivated with desire to succeed in a fast-paced financial services environment.