Eligibility
- Experience
- 2 to 5 Year
- Location
- Karachi, Pakistan
Details
We are seeking a highly detail-oriented and responsible Internal Auditor & Compliance Officer to ensure full compliance with SECP regulations, PSX Rulebook, and applicable financial laws. The candidate will oversee internal audit functions, regulatory reporting, AML/KYC compliance, and risk management systems within the organization.
🧾 Key Responsibilities
🔹 Regulatory Compliance
Ensure compliance with SECP regulations, PSX Rulebook, and Securities Act 2015
Monitor adherence to internal policies and regulatory frameworks
Stay updated on regulatory changes and implement necessary adjustments
🔹 AML / KYC / CDD
Implement and monitor Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) policies
Review and verify Know Your Customer (KYC) and Customer Due Diligence (CDD) documentation
Identify and report suspicious transactions as per regulatory requirements
🔹 Internal Audit
Conduct periodic audits of trading activities, client accounts, and operational processes
Review trade logs, margin financing, and client asset segregation
Identify control weaknesses and recommend corrective actions
🔹 Regulatory Reporting
Prepare and submit required regulatory reports including Liquid Capital (LC) statements and Net Worth certificates
Ensure timely submission of reports to SECP, PSX, and relevant authorities
🔹 Risk Management
Monitor and maintain Risk Management System (RMS) parameters
Ensure client exposure and trading limits remain within approved thresholds
Assist in managing operational and financial risk controls
🔹 Complaint Handling
Handle investor complaints and coordinate resolution through internal and regulatory channels
Manage communication with SECP complaint portals when required
🎓 Required Qualifications
Bachelor’s or Master’s degree in Finance, Accounting, Business Administration, or Law
Professional qualifications such as ACCA (Affiliate/Member), CA Inter, or ACMA will be preferred
Must be eligible for or willing to obtain IFMP Compliance Officer Certification (SECP requirement)
💼 Experience Requirements
2–5 years of relevant experience in compliance, audit, or brokerage operations
Experience in a PSX-registered brokerage house will be strongly preferred
🧠 Knowledge & Skills
Strong understanding of SECP regulations, PSX Rulebook, CDC, and NCCPL systems
Proficiency in MS Excel and reporting tools
Familiarity with brokerage back-office systems
Strong analytical, documentation, and problem-solving skills
High level of integrity and attention to detail
⚖️ Eligibility Criteria
Must meet SECP “Fit and Proper” criteria
Clean professional and financial record
Strong ethical standards and compliance mindset
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