Assistant Manager- Risk and Compliance

9 hours ago

Karachi, Sindh, Pakistan Chase Securities Pakistan Private Limited Full time 900,000 - 1,200,000 per year

Are you passionate about ensuring regulatory compliance and managing risk in a dynamic capital market environment? We're looking for a
detail-oriented, proactive, and responsible individual
to join our Compliance & Risk team.

Key Responsibilities:

  • Ensure timely submission of all mandatory regulatory reports including
    CASS, LC, financial information, and other SECP/PSX filings.
  • Implement and monitor
    AML/CFT procedures
    , including CDD and STR reporting, and quarterly AML/CFT surveys to SECP.
  • Continuously
    monitor client exposures
    , ensuring adherence to defined limits and immediate action on threshold breaches.
  • Oversee
    employee trading activities
    in line with regulations and internal policies.
  • Respond promptly
    to regulator notices and inspection queries from SECP, PSX, CDC, and NCCPL.
  • Prepare and report the
    daily Risk Management Dashboard
    to the CEO.
  • Share daily
    risk sheets with traders
    and take swift action where needed.
  • Approve
    dealer commission disbursements
    after compliance verification.
  • Respond to
    SECP SROs
    on a timely basis.
  • Approve
    client payments
    after assessing their risk levels.
  • Prepare and submit
    monthly compliance reports
    to senior management.
  • Actively participate in
    PSBA meetings
    and communicate updates to management.
  • Maintain and monitor the
    compliance calendar
    to ensure timely actions.
  • Enforce the company's
    Leverage Policy
    and ensure adherence by all clients.
  • Perform
    any other tasks assigned
    from time to time.

Requirements:

  • Bachelor's or Master's degree in Finance, Accounting, or related field.
  • Minimum
    2–3 years of experience
    in a Compliance or Risk role, preferably in a brokerage or financial institution.
  • Strong understanding of
    SECP and PSX regulations.
  • Excellent analytical, communication, and reporting skills.

Why Join Us?

  • Opportunity to work in a professional, growth-oriented environment.
  • Exposure to diverse compliance and risk management functions.
  • Competitive compensation and benefits package.


To Apply:

Send your updated CV to with the subject line
"Application – Assistant Manager Compliance & Risk."

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