Assistant Manager - Regulatory Affairs

• Conduct onsite inspections of brokers and their branches as per annual plan.
• Conduct investigations of brokers as and when required.
• Conduct offsite monitoring of brokers and their branches.
• Monitor conduct of brokers and timely escalate suspected misconduct cases.
• Analysis of periodic reports submitted by the brokers.
• Handle investor complaints received against brokers.
• Perform risk assessment of brokers for annual inspection plan.
• Assist in handling disciplinary proceedings against non-compliant brokers.
• Liaison with brokers, SECP and internal departments on regulatory matters.
• Assist in arbitration proceedings.
• Assist in conducting regulatory awareness sessions for brokers.
• Conduct research related to functional areas and proposing improvements based on local and international best practices.
• Any other task assigned by the HOD.

Education: CA (Part Qualified)/ACCA

Experience: At least 3 years’ experience in compliance/audit/finance in the financial sector

Skills: Impeccable integrity, exceptional analytical and communication skills, excellent knowledge of regulatory framework

Job Type: Full-time

Pay: Rs60,000.00 - Rs80,000.00 per month

Application Question(s):

• Do you have 3+ years of experience in compliance, audit, or finance within the financial sector?
• Are you CA (Part Qualified) or ACCA?
• Have you conducted onsite or offsite inspections of brokers or similar regulated entities?
• Do you have experience handling investor complaints or compliance-related inquiries?

Work Location: In person