Job Responsibilities:

• Ensuring compliance of Collective Investment Scheme(s) with NBFC Rules and Regulations.
• Assisting Supervisor/Sr. Management in correspondence with the Commission and Regulator(s) on behalf of AMC.
• Provide direction and establish guidelines for subordinates in performing effective KYC and AML activities.
• Monitor and review KYC and AML activities from time to time and report identified exceptions to Sr. Management (if any).
• Monitor and report exceptions observed from company existing policies to Supervisor/Sr. Management with remedial actions (if any).
• Provide guidance to department subordinate(s) in developing various reports/Compliance purposes.
• Coordinate with other concerned departments for ensuring compliance with NBFC Rules and Regulations.
• Preparation and drafting of Minutes of Meetings of Board Sub-committees and perform secretarial function where required.
• Report to members of the Investment Committee on compliance and risk management of Collective Investment Schemes from time to time.
• Provide latest updates and feedback on amendments in the NBFC Regulatory Framework to concerned departments.
• Suggest from time to time to the Supervisor/Sr. Management on new Risk and Compliance activities, trends and practices in the industry.
• Maintain follow up on internal audit observations and other directives issued by the Sr. Management/Board sub-committees.
• Coordinate with SECP on investor’s complaint and other matters.
• Perform tasks that may be assigned from time to time.

Required Competencies to successfully perform:

• Strong knowledge and exposure to NBFC’s Regulatory Framework
• 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 legal reports, proposals, job descriptions, policies and procedures.
• Strong Negotiation Skills and the ability to counsel.
• Strong Analytical Skills
• Interpretation of Corporate Laws

Required Education & Experience:

• Minimum Bachelor’s degree in Finance/Law/ Professional Qualifications from a reputable / HEC recognized institution or from a renowned local/ foreign university / accounting body.
• 5-8 years of relevant experience.