ThinkMarkets – Compliance Officer.

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About the job

ThinkMarkets is a global financial technology company, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we make it available for our clients to trade the world 24-hours a day. Our mission is to bridge the gap between traders, investors and platforms by allowing access to global markets and thousands of products thus providing our clients the ability to trade the world in the palm of their hand. We use the latest technologies to give traders seamless access to our proprietary trading platforms.

We are seeking a motivated and professional Compliance Officer to join our rapidly growing team! Based in Nairobi, Kenya, the Compliance Officer will be responsible for all domestic legal matters as well as providing strategic, regulatory, and governance advice to the company. The Compliance Officer will be directly involved in complex business transactions, negotiating critical contracts, and overseeing the day-to-day legal function of the Kenyan office and East Africa operations. Apart from a legal and compliance background, the ideal candidate should have direct work experience in the financial services industry.


  • Plan and execute legal initiatives and reviews for Kenya office and, act as the firm’s Risk Manager as well
  • Ensure that the organization respects all laws, rules, and regulations when conducting financial transactions
  • Assist with the development and implementation of compliance management plans, policies, processes, and monitoring to ensure the organisation complies with laws and regulations, statutory and supervisory requirements
  • Advise business units on options for remediating regulatory compliance issues
  • Evaluate firm’s compliance with applicable laws, regulatory requirements, and firm’s policies and procedures
  • Proof, edit and submit updated license applications to the regulatory body(ies) of the land, create documents and presentation materials
  • Conduct internal audits related to compliance issues and report any, and all compliance violations
  • Conduct legal research and prepare written memos, articles, and other correspondence
  • Anticipate, identify, advise on, and mitigate legal risk that arises in relation to programs and activities
  • Prepare and submit monthly, quarterly, and annual compliance reports
  • Establish and embed compliance culture across the Company and its entities
  • Monitor and interpret industry developments and relevant laws and regulations
  • Draft internal policies and procedures
  • Collaborate with External Compliance Officer, Regulators, and Legal department
  • Assist in the designing and implementation of all administrative processes and procedures in adherence to company policy


  • Higher education degree in Legal studies
  • Must have Chartered Institute of Securities and Investments (CISI) qualification
  • Minimum 2-3 years post qualification experience in a financial services environment
  • Working experience with corporate governance matters and securities law
  • Strong working knowledge of financial services regulations
  • Demonstrated experience in and passion for financial regulations and compliance, intellectual property, technology, real estate, commercial contracts, and employment law
  • Certification in Risk Management Assurance -CRMA, or Certification in Risk and Information Systems Control (CRISC)
  • Membership to either Association of Certified Fraud Examiners (ACFE) or, Information Systems Audit & Control Association (ISACA) or a relevant professional body that is recognized in Kenya.





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