Urwah Admin

Pakistan Mercantile Exchange

<ul><li>Conduct onsite inspections of brokers and their branches as per annual plan.</li><li>Conduct investigations of brokers as and when required.</li><li>Conduct offsite monitoring of brokers and their branches.</li><li>Monitor conduct of brokers and timely escalate suspected misconduct cases.</li><li>Analysis of periodic reports submitted by the brokers.</li><li>Handle investor complaints received against brokers.</li><li>Perform risk assessment of brokers for annual inspection plan.</li><li>Assist in handling disciplinary proceedings against non-compliant brokers.</li><li>Liaison with brokers, SECP and internal departments on regulatory matters.</li><li>Assist in arbitration proceedings.</li><li>Assist in conducting regulatory awareness sessions for brokers.</li><li>Conduct research related to functional areas and proposing improvements based on local and international best practices.</li><li>Any other task assigned by the HOD.</li></ul>Education: CA (Part Qualified)/ACCAExperience: At least 3 years&rsquo; experience in compliance/audit/finance in the financial sectorSkills: Impeccable integrity, exceptional analytical and communication skills, excellent knowledge of regulatory frameworkJob Type: Full-timePay: Rs60,000.00 - Rs80,000.00 per monthApplication Question(s):<ul><li>Do you have 3+ years of experience in compliance, audit, or finance within the financial sector?</li><li>Are you CA (Part Qualified) or ACCA?</li><li>Have you conducted onsite or offsite inspections of brokers or similar regulated entities?</li><li>Do you have experience handling investor complaints or compliance-related inquiries?</li></ul>Work Location: In person

Assistant Manager - Regulatory Affairs

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Pakistan Mercantile Exchange

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Assistant Manager - Regulatory Affairs