The Capital Markets Authority (CMA) is a statutory agency dedicated to regulating and developing an efficient capital market in Kenya. Our mission is to promote a fair, transparent, and efficient capital market that fosters economic growth and development.
As part of our commitment to maintaining the integrity of the capital markets and enhancing investor protection, we are seeking talented and dynamic individuals to join our team. If you have a passion for compliance, risk management, and ensuring robust internal controls, we invite you to apply for the following positions:
Senior Compliance Officer (Grade 5) – 2 Posts
Reference: CMA/SCO/08/2025
Job Purpose
Reporting to the Manager of Compliance, the Senior Compliance Officer will play a crucial role in ensuring market integrity by providing guidance and advice to market intermediaries on compliance practices. The position requires close liaison with compliance staff, risk managers, and internal auditors within the market to promote a strong internal control and compliance environment.
Key Responsibilities
- Coordinating risk profiling of market intermediaries and preparing detailed reports for management.
- Leading the preparation of inspection reports, compliance status updates, and risk profiling summaries.
- Conducting both onsite and offsite inspection activities using risk-based supervision methodologies.
- Ensuring that market intermediaries comply with the Capital Markets Act, regulations, rules, and anti-money laundering laws.
- Tracking the implementation of the annual inspection plan for regulated entities.
- Providing guidance on compliance practices by working closely with compliance, risk management, and internal audit teams.
- Conducting research on best practices in market supervision, including anti-money laundering standards.
- Analyzing trends in compliance with regulatory requirements and maintaining a compliance database to inform policy and regulatory reforms.
- Implementing the relationship management policy for regulated entities.
Minimum Requirements
- Bachelor’s degree in Law, Business, or a relevant field.
- For business graduates, professional qualifications such as ACCA, CFA, CPA, CISI, CPS, or other finance and risk-related qualifications are required.
- For law graduates, admission as an Advocate of the High Court of Kenya and membership with the Law Society of Kenya is mandatory.
- Membership in a relevant professional body (where applicable) and in good standing.
- A supervisory course lasting at least two weeks is an added advantage.
- A minimum of 4 years of relevant experience.
Key Skills, Knowledge & Competencies
- Proficiency in Risk Management.
- In-depth knowledge of Compliance, Monitoring, and Internal Controls.
- Professional skepticism and sound judgment.
- Strong interviewing and communication skills.
- Comprehensive understanding of CMA regulations and the Kenyan legislative framework.
- Ability to work under tight deadlines and with minimal supervision.
- Excellent team collaboration and interpersonal skills.
Why Join the Capital Markets Authority?
At CMA, you will have the opportunity to work with a dedicated team of professionals committed to enhancing market integrity and investor confidence. Our work environment promotes continuous learning, career development, and the pursuit of excellence. We value diversity, creativity, and innovation, and we encourage employees to bring their unique perspectives to the table.
How to Apply
If you meet the above requirements and are excited to contribute to the development of Kenya’s capital markets, we encourage you to apply.
Please send your application letter and Curriculum Vitae (in PDF format only) to [email protected]. Applications should be addressed to:
Chief Executive Officer
Capital Markets Authority
P. O. Box 74800-00200
Nairobi
Applications must be received on or before February 25, 2025. Only shortlisted candidates will be contacted for interviews.
Important Notes
- Successful candidates will be required to fulfil the requirements under Chapter Six of the Constitution of Kenya by providing the following:
- Certificate of Good Conduct from the Directorate of Criminal Investigations.
- Ethics and Anti-Corruption Clearance Certificate (EACC).
- Higher Education Loans Board (HELB) Clearance Certificate.
- Current Tax Compliance Certificate from the Kenya Revenue Authority.
- Credit Reference Bureau (CRB) Clearance Certificate.
- Capital Markets Authority is an Equal Opportunity Employer. Persons with disabilities are encouraged to apply.
- Canvassing will result in automatic disqualification.
- The Capital Markets Authority does not charge a fee at any stage of the recruitment process.
Be a part of a team that drives growth and integrity in Kenya’s capital markets. Seize this opportunity to make a meaningful impact on the financial landscape.
