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Equity Bank Limited (The "Bank”) is incorporated, registered under the Kenyan Companies Act Cap 486 and domiciled in Kenya. The address of the Bank’s registered office is 9th Floor, Equity Centre, P.O. Box 75104 - 00200 Nairobi. The Bank is licensed under the Kenya Banking Act (Chapter 488), and continues to offer retail banking, microfinance and relat...
The Role Purpose:
To lead the development, implementation, and oversight of a robust risk and regulatory compliance framework tailored to the dynamic environment of investment banking. This role ensures EIB’s capital markets, corporate finance, advisory, trading, and asset management activities comply with local and international regulations while proactively identifying, assessing, mitigating, and reporting on financial, operational, market, credit, liquidity, and reputational risks. The position acts as a key strategic partner to business lines, providing expert advice on regulatory interpretation, new product approvals, transaction structuring, and risk appetite alignment to support sustainable growth in a competitive investment banking landscape.
Key Responsibilities:
Risk Management:
- Develop and maintain enterprise-wide risk frameworks, including Risk and Control Self Assessments (RCSA), Risk Registers, Key Risk Indicators (KRIs), and scenario analysis specific to investment banking (market volatility, counterparty credit, operational resilience in trading systems).
- Conduct risk assessments for high-impact activities such as underwriting, proprietary trading, and structured products.
- Monitor risk appetite and limits; escalate breaches with remediation plans.
- Collaborate with first-line business teams on risk identification in deal pipelines and trading books.
- Support stress testing, capital adequacy (ICAAP), and recovery planning aligned with Basel
- requirements.
Regulatory Compliance Leadership
- Oversee the bank’s compliance program across investment banking activities, including deal origination, equity/debt capital markets and trading (equities, fixed income).
- Monitor and interpret evolving regulatory requirements (e.g., prudential standards, market abuse, insider trading, conflicts of interest, client suitability, best execution) and ensure timely implementation.
- Lead regulatory reporting, interactions with regulators (CMA, FRC, UFAA, IRS, KRA etc.), and management of inspections/audits.
- Advise on new products, services, and transactions for regulatory risks and obtain necessary approvals.
- Embed a strong compliance culture through training, policies, and awareness programs.
Support group-wide compliance initiatives including policy updates, compliance training, and culture enhancement.
Governance, Monitoring & Reporting
- Participate in Risk & Compliance Committees; prepare reports for Board, Executive Risk Committee, and senior management.
- Implement and test controls for key risks (e.g., Chinese walls, surveillance for market manipulation, AML in cross-border deals).
- Lead or support internal audits, external reviews, and gap analyses.
- Drive continuous improvement through technology (regtech, surveillance tools, automated reporting).
Intellectual Property & Data Protection
- Maintain and protect EIB trademarks and other IP assets.
- Monitor IP infringements and support renewal processes.
- Support implementation of Data Protection policies and assist in breach management processes.
Stakeholder Management & Advisory
- Provide proactive, practical advice to Front Office, Legal, Finance, and Operations on compliance and risk matters.
- Build strong relationships with regulators, industry bodies, and peers.
- Support business growth by balancing risk mitigation with commercial objectives.
Qualifications
KEY TECHNICAL SKILLS & LEADERSHIP COMPETENCIES:
Qualifications & Experience
- Bachelor’s degree in Finance, Economics, Business, Law, or related field
- Professional certifications such as CPA, CFA, FRM, or CAMS are an added advantage.
- Minimum 7–10 years’ experience in risk management and compliance within banking or financial services.
- Strong knowledge of Kenyan banking regulations, investment products, and capital markets.
- Proven track record in managing regulatory audits and risk assessments.
Skills & Competencies
- Excellent analytical and problem-solving skills.
- Strong leadership and team management abilities.
- High ethical standards and integrity.
- Effective communication and stakeholder management skills.
- Ability to work under pressure and manage multiple priorities.
Leadership Competencies
- Accountability
- Managing Complexity
- Planning & Execution
- Communication & Stakeholder Influence
- Customer Focus
- Collaboration & Decision Making
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