Nabo Capital is a 3rd generation investment firm with over 50 years of experience in investing for institutions and individuals across Africa. The firm is seeking a Risk and Compliance Officer to manage regulatory, legal, and operational risks, ensuring adherence to the Capital Markets Authority (CMA) regulations and other relevant laws.
Key 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, and 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, and 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 and Experience
Bachelor’s degree in Law (LL.B), Social Sciences, or Statistics.
Minimum of 2 years’ experience in risk and compliance in a corporate and commercial firm or capital markets environment.
Professional certifications in corporate governance, compliance, or data protection (e.g., ICS, ICPAK) is highly desirable.
A Master’s degree or professional certifications in corporate/commercial law or data protection such as CIPP/E is an added advantage.
How to Apply
Interested and qualified candidates should apply online through LinkedIn via the application link provided below.
