PSX Compliance & internal Auditor

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 –PSX Compliance & internal Auditor

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

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Work Location: In person