JOB ADVERTISEMENT
Temporary Assistant – Compliance (2 Positions)
Location: Nairobi, Kenya
Contract Period: Six (6) Months Fixed-Term Contract
The Capital Markets Authority (CMA) is a statutory agency mandated to regulate and develop an efficient capital market in Kenya. As part of our mission to foster a strong regulatory environment, we are seeking dynamic and talented individuals to join our team as Temporary Assistants – Compliance. These roles are ideal for professionals eager to contribute to the supervision and compliance functions of a leading regulatory body.
Key Responsibilities
As a Temporary Assistant – Compliance, you will report to the Senior Manager, Market Supervision, and play an integral role in ensuring market intermediaries, securities exchanges, and investment funds adhere to compliance requirements. The specific duties include:
1. Onsite and Offsite Inspections
- Conducting onsite and offsite inspections using risk-based supervision methodologies.
- Preparing detailed inspection reports with actionable insights.
2. Risk Profiling for Regulated Persons
- Assisting in the development and execution of risk profiling activities.
- Preparing comprehensive reports on identified risks.
3. Compliance Guidance
- Providing guidance to market intermediaries on compliance practices.
- Liaising with compliance, risk management, and internal audit teams to promote robust internal controls and compliance systems.
4. Relationship Management
- Implementing the relationship management policy for regulated entities to foster positive engagements.
5. Data Management and Trend Analysis
- Maintaining accurate, up-to-date electronic databases for regulated persons.
- Performing periodic trend analyses to identify patterns and emerging risks.
6. Research on Best Practices
- Conducting research on market supervision best practices, including anti-money laundering (AML) and countering the financing of terrorism (CFT).
7. Quality Management Systems
- Implementing quality management systems to enhance operational efficiency.
- Continuously identifying and managing risks within the division.
8. Other Responsibilities
- Performing any additional duties as assigned by the supervisor.
Key Competencies
To succeed in this role, candidates must demonstrate the following:
- Strong knowledge of monitoring and internal control frameworks.
- Analytical and audit skills with a keen eye for detail.
- Formal investigative skills and the ability to interpret and act on information.
- Excellent communication, interpersonal, and report-writing skills.
Why Join Us?
At CMA, you will have the opportunity to contribute to the growth and stability of Kenya’s capital markets while gaining valuable experience in compliance and market supervision. As a member of our team, you will work alongside professionals committed to excellence, integrity, and innovation.
