Posted Yesterday 108 views Report Job
PKR. 90,000 - 150,000/Month
- Conduct onsite inspections of brokers and their branches as per annual plan.
- Conduct investigations of brokers as and when required.
- Conduct offsite monitoring of brokers and their branches.
- Monitor conduct of brokers and timely escalate suspected misconduct cases.
- Analysis of periodic reports submitted by the brokers.
- Handle investor complaints received against brokers.
- Perform risk assessment of brokers for annual inspection plan.
- Assist in handling disciplinary proceedings against non-compliant brokers.
- Liaison with brokers, SECP and internal departments on regulatory matters.
- Assist in arbitration proceedings.
- Assist in conducting regulatory awareness sessions for brokers.
- Conduct research related to functional areas and proposing improvements based on local and international best practices.
- Any other task assigned by the HOD.
Job Details
Industry:
Functional Area:
Total Positions:
1 Post
Job Shift:
First Shift (Day)
Gender:
No Preference
Minimum Education:
Certification
Degree Title:
CA (Part Qualified)/ACCA
Career Level:
Experienced Professional
Minimum Experience:
3 Years (At least 3 years’ experience in compliance/audit/finance in the financial sector)
Apply Before:
Jul 17, 2025
Posting Date:
Jun 16, 2025
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