CMA Compliance Officer Jobs


Compliance Officer Careers At CMA In Kenya
Compliance Officer – HCA/CO/3/2016 – 2 POSTS

Reporting to the Assistant Manager Risk Analysis & Compliance, the selected candidate will be responsible for;

Compliance Officer Job Responsibilities In Kenya

  • Conducting bi-annual risk assessment on licensees that will ensure timely identification, monitoring and mitigation of various risks and advise the Authority on supervisory attention and appropriate regulatory action(s);
  • Preparing for and undertaking routine, ad-hoc and thematic inspections of market intermediaries and listed companies to monitor compliance with regulatory requirements aimed at enhancing the integrity of the capital markets;
  • Making recommendations for investigations and sanctions against specific non-complying market intermediaries in violation of CMA Act, Regulations and Guidelines in order to address failure to meet specific obligations and market requirements;
  • Enforcing measures to strengthen good corporate governance & conduct of business, ethical business practices, internal controls and auditing systems to improve the overall compliance environment;
  • Examining financial disclosure records of market intermediaries Risk Based Capital Adequacy returns and listed companies to determine and continuously monitor compliance with financial resources requirements as well as all other regulatory requirements;
  • Undertaking any other responsibilities as and when assigned.

Qualifications For Compliance Officer Jobs In Kenya

  • Bachelor’s Degree in Commerce, Business Studies, Finance, Mathematics, Economics, Actuarial Science or Law;
    Two (2) years relevant experience.


  • Comprehensive knowledge of rules, regulations and guidelines issued by the Capital Markets Authority as a regulator of the Kenyan capital markets, focusing mainly on listed companies and licensed entities and market products;
  • Analytical and audit skills;
  • Ability to interpret information and make decisions based on the information;
  • Strategic & critical thinking;
  • Strong presentation and communication skills including ability to write reports;
  • Proficiency in computer applications such as Microsoft Word, Excel, Access, PowerPoint and Outlook express including financial and statistical packages;
  • Interpersonal and cross-cultural skills including ability to build alliances and collaborative relationships with sensitivity to diversity;
  • Ability to maintain high standards of integrity; establish straightforward, productive relationships;
  • Ability to treat individuals with fairness and respect, demonstrating sensitivity for ethnic, cultural and gender differences;
  • Ability to meet tight deadlines as well as work with minimal supervision;
  • Ability to work effectively and efficiently in a team.


How to Apply

To apply, Go to Erecruitment Portal HERE