Assistant Manager Compliance

2 weeks ago

Islamabad, Islamabad, Pakistan AWT Investments Limited Full time $60,000 - $120,000 per year

Job Summary:

Responsible for executing and maintaining compliance program, including On-site and Off-site Compliance Risk Assessments/ documentation and reporting based on overall scope of compliance.

Daily/Weekly / Monthly / Quarterly / Semi-Annually / Yearly Compliance Monitoring / Report (SECP / Mufap):

Updating Compliance Monitoring sheet on daily basis to monitor any Non- Compliance of Limits / Restrictions defined under NBFC Regulations, Circulars and Constitutive Documents. The same is forwarded to Head of Compliance for further necessary action.

Monthly / Quarterly / Semi-Annually / Yearly Reports to Regulators:

Ensure Monthly Reporting of SECP, MUFAP, and NCCPL according to a deadline and Job Specification.

Monthly, Quarterly, Semi-Annually, Yearly, and Other Inhouse Reporting

Ensure timely preparation and in-house reporting according to a deadline and Job Specification.

Time to Time Monitoring:

  • Ensure Compliance of NBFC rules and regulations, circulars, and directives.  and AML/CFT regulation, Act, directives, and guidelines. .
  • Keep updating and changing and issuance of new circulars, directives, and guidelines to high ups and circulate to the relevant department accordingly.

Compliance of AOF, KYC and Other relevant Forms:

  • To keep the record of KYC forms on regular basis. To check the required documents for account opening forms, Investments forms, Redemption forms and Conversion, Service Request form and make Compliance report and mention non-compliance report.

Minutes / Policy review:

  • Investment committee minutes and adherence of Board approved departmental policy review.

AML / CFT Regulation:

  • Shall report directly to the  Head of Compliance or another equivalent executive position or committee as and when required.
  • The AM Compliance shall primarily be responsible for the areas including, but not limited to-
  • The AM compliance with the relevant provisions of these Regulations, the AML Act, the Anti-Money Laundering Rules, 2008, the Anti-Money Laundering Regulations,  2020, and other directions and guidelines issued under the aforementioned regulations and laws, as amended from time to time
  • Ensuring that the internal policies, procedures, and controls for the prevention of ML/TF are approved by the board of directors and are effectively implemented;
  • Monitoring, reviewing and updating AML/CFT policies and procedures;
  • Providing assistance in compliance to other departments and branches ;
  • Timely submission of accurate data/ returns as required under the applicable laws;
  • Monitoring and timely reporting of Suspicious  Transactions to FMU; and
  • such other responsibilities may deem necessary in order to ensure compliance with these regulations

Education:

Preferably a Master's Degree in Finance/Economics/Commerce from an HEC recognized / overseas institution.

Experience

Minimum 5 years of working experience in Compliance/audit/accounts/operations in financial institute or corporate/multinational organisation governing bodies.

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