Description:
Are you passionate about ensuring regulatory compliance and managing risk in a dynamic capital market environment? We’re looking for a detail-oriented, proactive, and responsible individual to join our Compliance & Risk team.
Key Responsibilities:
- Ensure timely submission of all mandatory regulatory reports including CASS, LC, financial information, and other SECP/PSX filings.
- Implement and monitor AML/CFT procedures, including CDD and STR reporting, and quarterly AML/CFT surveys to SECP.
- Continuously monitor client exposures, ensuring adherence to defined limits and immediate action on threshold breaches.
- Oversee employee trading activities in line with regulations and internal policies.
- Respond promptly to regulator notices and inspection queries from SECP, PSX, CDC, and NCCPL.
- Prepare and report the daily Risk Management Dashboard to the CEO.
- Share daily risk sheets with traders and take swift action where needed.
- Approve dealer commission disbursements after compliance verification.
- Respond to SECP SROs on a timely basis.
- Approve client payments after assessing their risk levels.
- Prepare and submit monthly compliance reports to senior management.
- Actively participate in PSBA meetings and communicate updates to management.
- Maintain and monitor the compliance calendar to ensure timely actions.
- Enforce the company’s Leverage Policy and ensure adherence by all clients.
- Perform any other tasks assigned from time to time.
Requirements:
- Bachelor’s or Master’s degree in Finance, Accounting, or related field.
- Minimum 2–3 years of experience in a Compliance or Risk role, preferably in a brokerage or financial institution.
- Strong understanding of SECP and PSX regulations.
- Excellent analytical, communication, and reporting skills.
Why Join Us?
- Opportunity to work in a professional, growth-oriented environment.
- Exposure to diverse compliance and risk management functions.
- Competitive compensation and benefits package.