Website Nabo Capital
Nabo Capital is a 3rd generation investment firm with over 50 years experience of investing for institutions and individuals with an Africa-wide focus. Our core business revolves around the management of traditional asset classes such as equities, money markets and fixed-income portfolios. We also t… read moreraverse alternative asset classes such as real estate, securitizations and private instruments.
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
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
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
Bachelor’s degree in Law (LL.B), Social Sciences, or Statistics. A Master’s degree or professional certifications in corporate/commercial law or data protection such as CIPP/E is an added advantage.
Professional certifications in corporate governance, compliance or data protection (e.g. ICS, ICPAK) is highly desirable.
Minimum of 2 years’ experience in risk and compliance in a corporate and commercial firm or capital markets environment.
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