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Job description
Purpose of the Role
To manage, lead, and execute the end-to-end regulatory compliance, AML/CFT risk framework, and statutory reporting for a prominent listed brokerage house. Serves as the primary statutory liaison with regulatory and market infrastructure entities.
Key Responsibilities
- Compliance & Risk Management:
- Lead the Compliance & Risk function and ensure adherence to all applicable regulatory requirements.
- Oversee statutory, regulatory, and periodic reporting to SECP, PSX, NCCPL, CDC, PMEX, FMU, and other regulatory authorities.
- Act as the Compliance Officer and oversee AML/CFT compliance, including KYC, CDD, EDD, UBO verification, sanctions screening, FATCA, CRS, and STR/CTR reporting.
- Develop, implement, and periodically review compliance, risk management, and governance policies and procedures.
- Regulatory Reporting & Inspections:
- Lead regulatory inspections, audits, and compliance reviews, ensuring timely resolution of observations.
- Oversee client onboarding, KYC/CDD/EDD/UBO, customer risk profiling, and ongoing due diligence.
- Market Surveillance:
- Monitor trading activities and conduct surveillance to identify market abuse, insider trading, front running, and other regulatory breaches.
- Team Leadership:
- Lead, mentor, and develop the Compliance & Risk team while promoting a strong culture of ethics and regulatory compliance.
- Additional Responsibilities:
- Coordinate with the Company Secretary and Board Audit & Compliance Committee on corporate governance obligations under the PSX Rulebook.
- Conduct ongoing reviews of proprietary and client trade executions, order patterns, and concentration limits to prevent insider trading or market manipulation.
- Deliver periodic compliance awareness and anti-money laundering training across institutional, retail, and branch networks nationwide.
Candidate Requirements
- Education: Master’s degree in Finance, Law (LL.B/LL.M), Business Administration (MBA), or equivalent from an HEC-recognized institution. Preferred certifications: CA, ACCA, ACMA, or CAMS (Certified Anti-Money Laundering Specialist).
- Experience: 8–12+ years overall experience in capital markets, with at least 3–5 years in a senior compliance leadership role within a reputable brokerage house or regulatory environment.
- Skills:
- In-depth knowledge of SECP Directives, Securities Act 2015, PSX Regulations, CDC/NCCPL protocols, and AML/CFT laws.
- Hands-on familiarity with Brokerage ERP systems, CDC-PIMS, and NCCPL client management portals.
- Strong analytical, investigative, and decision-making capabilities.
- Professional authority with clear written and verbal communication skills.