Manager Operations and Captive Business
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.
The Person
For the above position, the successful
applicant should have the following:
- 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 environmen
- 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.
How to Apply