Nairobi Securities Exchange Market Compliance Lead Jobs in Kenya

Nairobi Securities Exchange Market Compliance Lead Jobs in Kenya

The Nairobi Securities Exchange PLC (NSE) is a company licensed by the Capital Markets Authority (CMA) to facilitate the trading of financial products through the provision of a trading platform for listed securities. In line with this mandate, the NSE is seeking to recruit a suitably qualified individual to fill the position of Market Compliance Lead.

Overall Purpose

Ensure compliance by Market Participants and Listed Companies with the Rules and Regulations of the NSE and CMA; conduct periodic financial analysis of Listed Companies and Market Participants and ensure the maintenance of a fair and transparent market through continuous monitoring of Market Participants and Listed Companies.

Key Duties and Responsibilities

Analysing and reviewing the quarterly, interim and annual financial reports of Listed Companies and Trading Participants for compliance with the Capital Market regulations, guidelines, and the NSE rules;

Reviewing the applications to list on the official list of the Exchange for completeness and compliance with the CMA and NSE rules and regulations;

Carrying out an independent review of the valuation reports of companies intending to list on the Exchange to ensure the correctness of the valuation and basis of the proposed listing prices;

Reviewing sustainability reports of listed companies and preparing periodic reports thereof;

Reviewing applications for admission of Market Participants and preparing management reports thereof;

Engaging with compliance officers of market participants from time to time to guide on matters of capital markets compliance;

Carrying out onsite and offsite inspections on Market Participants to assess their compliance with the Capital Markets regulations and the NSE rules and maintenance of the compliance tracker to ensure closure of non-compliance issues;

Maintaining investor complaint

register that ensures investigation, tracking, and eventual closure of issues raised;

Tracking the financial health of Trading Participants by monitoring their monthly capital adequacy returns;

Maintaining the monthly investor returns by Listed Companies and ensuring compliance with submission timelines according to the CMA and NSE rules and regulations;

Develop training material on compliance and conduct training to market participants on the same;

Assist in carrying out real-time surveillance of the market;

Perform any other duties as may be required.

Competencies

Bachelor's degree in Finance, Commerce, Business Management, Business Studies, Economics, Law or equivalent from a relevant field.

Minimum two (2) years of relevant work experience.

Experience in the capital markets will be an added
advantage.

Membership to a professional body such as ICPAK, or LSK.

Possession of professional qualifications such as CPA, CISI, CFA, or FA will be an added advantage.

Experience

Demonstrate knowledge and understanding of legal/ regulatory framework of the Capital Markets.

Must possess strong analytical skills.

Working knowledge of Automated Trading Systems.

Proficiency in Microsoft Office Suite.

Strong ethics with the ability to manage confidential data.

Conflict resolution skills.

Time management skills.

How to Apply

For more information and job application details, see; Nairobi Securities Exchange Market Compliance Lead Jobs in Kenya

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