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.
Qualifications
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 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.
How to Apply
