Assistant Manager Compliance

2 weeks ago

Karachi, Sindh, Pakistan BMA Investment Advisors Ltd. Full time 900,000 - 1,200,000 per year

Job Purpose

To support the Head of Compliance in implementing, monitoring, and strengthening the compliance framework, corporate governance practices, and regulatory reporting requirements of BMA Investment Advisors Ltd.

The role ensures timely execution of compliance tasks, maintenance of regulatory records, monitoring of company-wide adherence to SECP, NBFC, and AML/CFT regulations, and coordination for audits and inspections.

Key Responsibilities

  1. Regulatory Compliance Monitoring

  2. Assist in implementing compliance policies, procedures, and regulatory frameworks.

  3. Prepare and maintain compliance checklists for periodic filings with SECP and other regulators.
  4. Monitor ongoing company operations to identify compliance gaps and escalate issues to the Head of Compliance.

  5. Track regulatory updates and support management in integrating them into policies.

  6. Reporting & Filings

  7. Draft and prepare statutory filings, reports, and returns for submission to SECP and other authorities.

  8. Maintain compliance records, registers, and documentation as per NBFC Rules and AML/CFT guidelines.

  9. Prepare compliance MIS/reports for management and regulatory review.

  10. Audit & Internal Control Support

  11. Assist in execution of internal audit plans related to compliance and risk control.

  12. Follow up on audit findings, ensuring corrective actions are implemented.

  13. Coordinate with internal and external auditors during reviews and inspections.

  14. Policy & Governance Support

  15. Support in drafting and reviewing internal policies, SOPs, and governance documents.

  16. Ensure compliance awareness by circulating regulatory updates and conducting basic staff orientations under the Head of Compliance's guidance.

  17. Liaise with HR and other departments to ensure compliance with internal governance and ethical standards.

  18. Coordination & Assistance

  19. Provide administrative and documentation support for Board/Committee meetings, including collation of compliance-related agenda items and records.

  20. Act as the first point of contact for departmental compliance queries, escalating issues as required.
  21. Work closely with the Manager, Internal Audit & Compliance, for monitoring and reporting tasks.

Qualifications & Experience

  • Bachelor's degree in Finance, Law, Accounting, or related field (Master's preferred).
  • 2–4 years of relevant experience in compliance, audit, or risk management (preferably in financial services or NBFC sector).
  • Familiarity with SECP regulations, Companies Act 2017, NBFC Rules, and AML/CFT requirements.
  • Strong analytical, documentation, and reporting skills.

Key Competencies

  • Attention to detail and regulatory awareness.
  • Strong organizational and record-keeping skills.
  • Ability to work independently under supervision.
  • Good communication and coordination skills.

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