Position Description:
The AM Compliance is responsible for ensuring compliance with applicable Laws and Regulations, Policies and Procedure and SECP Directives and Notifications.
Job Responsibilities:
- Preparation of daily Exposure Report of all CIS under the management with respect to applicable NBFC’s Regulations, SECP Directives and respective Offering Documents.
- Preparation of Monthly Compliance Report
- Preparation of Weekly Dash Board
- To ensure compliance of all relevant SECP Directives, Circulars and Notifications
- Review of monthly SCRS returns submitted to the Commission
- Checking of Account Opening Forms with respect to KYC requirements
- Checking of Brokerage Commission
- Checking of Net Asset Value of all CIS with respect to NBFC’s Regulations
- Checking of Group Exposure
- Checking of Fund Manager Report with respect to MUFAP Standard Criteria
- Checking of timely announcement of NAV
- Checking of Commission paid to the Investment Facilitators and Distributors regarding sharing of Management Fee and Sales Load
- Monitoring of compliance to Employees’ Trading Policy
- Monitoring of compliance to Trading Room Policy
- Keep abreast of all related updates on SECP and MUFAP website
- Responsible for providing information to SECP with respect to Offsite Review
- Responsible for providing information to the Credit Rating Agency
- Responsible for all compliance related activities and other tasks as directed by Manager Compliance from time to time
Required Competencies:
To perform the job successfully, an individual should demonstrate the following competencies:
- Strong Team Management skills – a team player with outstanding work ethics and high level of motivation & persistence
- Effective Communication Skills (written and verbal both) – to be able to prepare reports, proposals, job descriptions, policies and procedures.
- Strong Public Relations Skills in terms of conducting interactive public speaking sessions
- Strong Negotiation Skills and the ability to counsel.
- Strong Analytical Skills
Required Education & Experience:
- Minimum BBA/ Graduate from any reputed HEC recognized university or ACCA (in progress)
- Minimum 1-3 years’ relevant industry experience
- Strong knowledge and exposure to NBFC’s Regulations will be an added advantage