Compliance Officer – Investment Banking & Capital Markets

About the role

We are looking for a Compliance Officer with a strong background in investment banking and capital markets to ensure that all business activities adhere to Kenyan regulatory requirements and internal policies.

Key responsibilities

• Develop, implement and monitor the compliance framework in line with CMA, CBK and other regulations.
• Monitor trading and investment activities, investigate suspicious transactions and ensure proper client asset safeguarding.
• Conduct compliance monitoring across investment banking, trading, treasury, brokerage and related‑party transactions.
• Advise management on regulatory requirements, emerging risks and mitigation measures.
• Prepare and submit statutory and regulatory reports within prescribed timelines.

Required profile

• Bachelor’s degree in Finance, Law, Economics, Accounting, Business Administration or related field.
• Significant compliance experience within an investment bank, stockbroker, investment firm or regulated financial institution under CMA and CBK frameworks.
• Demonstrated experience in transaction monitoring, trade surveillance and related‑party transaction oversight.

Required skills

• Strong knowledge of AML/CFT, KYC, market conduct, conflicts of interest and insider trading regulations.
• Proficiency in transaction monitoring and trade surveillance tools.
• Ability to conduct investigations, analyse data and produce regulatory reports.

What we offer

• Competitive gross monthly salary of KES 100,000 – 150,000, commensurate with qualifications and experience.
• Exposure to investment banking, capital markets and regulatory compliance.
• Professional growth and development opportunities.