Risk & Compliance Officer Job Nabo Capital

Legal Jobs. Nabo Capital Jobs

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.

How to Apply

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