Description:
The Associate – Regulatory Compliance & Company Secretarial will assist in ensuring compliance with applicable regulatory requirements and support company secretarial functions of the brokerage house.
Key Responsibilities:
- Assist in monitoring compliance with regulations issued by the Securities and Exchange Commission of Pakistan and Pakistan Stock Exchange.
- Support preparation and submission of regulatory reports, returns, and disclosures.
- Review client onboarding documentation to ensure KYC, AML, and regulatory compliance.
- Maintain compliance records, registers, and regulatory documentation.
- Track regulatory circulars, notifications, and assist in internal dissemination.
- Assist during regulatory inspections, audits, and compliance reviews.
- Provide support in company secretarial matters including preparation of board meeting agendas, minutes, and maintenance of statutory records.
- Assist in regulatory filings, statutory returns, and documentation required under applicable corporate laws.
Eligibility Criteria:
- Bachelor’s degree in Law, Finance, Business Administration, Accounting, or a related field.
- Fresh graduates or candidates with up to 1 year of relevant internship/experience.
Skills Required:
- Strong analytical and documentation skills.
- Good written and verbal communication.
- Proficiency in MS Office.
- Attention to detail and high professional integrity.