Compliance Officer (Capital Market)

About the Company:

The client's goal is to build long-term relationships and become one of the most trusted names in Pakistan's capital markets.

Role Overview – Compliance Officer

Key Responsibilities

• Regulatory Oversight: Ensure full adherence to the Securities Act, PSX Rulebook, and SECP directives.
• AML/CFT Monitoring: Implement and manage Anti-Money Laundering (AML) and Counter-Financing of Terrorism (CFT) protocols, including Know Your Customer (KYC) and Ultimate Beneficial Owner (UBO) verification.
• Audit & Reporting: Coordinate internal audits and timely submission of periodic compliance reports to regulatory bodies.
• Risk Mitigation: Identify potential breaches in trading activities and operational procedures; develop corrective action plans.
• Advisory: Guide the Board and staff on regulatory updates and ethical trading practices.

Key Requirements:

• Education: Masters degree in Finance, Accounting, or a related field (ACCA/ACMA/CA Inter preferred).
• Experience: Minimum 3–5 years of experience in a compliance or internal audit role within a TREC Holder firm or the financial services sector.
• Knowledge: Deep understanding of the PSX Regulations, Central Depository Company (CDC) procedures, and National Clearing Company (NCCPL) protocols.
• Skills: Exceptional analytical skills, high ethical standards, and proficiency in regulatory documentation.

Other Details:

• Experience: 3+ years
• Location: Karachi
• Working Days: Monday to Friday
• Timings:09:00 am to 05:30 pm

About HR Ways: HR Ways is an award-winning Technical Recruitment Firm helping software houses and IT Product companies internationally and locally to find IT Talent. HR Ways is engaged by 300+ Employers worldwide, ranging from the world's biggest SaaS Companies to the most competitive Startups. We have entities in Dubai, Canada, the US, UK, Pakistan, India, Saudi Arabia, Portugal, Brazil, and other parts of the world. Join our WhatsApp Channel https://whatsapp.com/channel/0029VamSiLr5fM5fMtAdCS2M to stay updated, or visit www.hrways.co to know more.

Work Location: In person