We are seeking a highly detail-oriented and responsible Internal Auditor & Compliance Officer to ensure full compliance with SECP regulations, PSX Rulebook, and applicable financial laws. The candidate will oversee internal audit functions, regulatory reporting, AML/KYC compliance, and risk management systems within the organization.

🧾 Key Responsibilities

🔹 Regulatory Compliance

Ensure compliance with SECP regulations, PSX Rulebook, and Securities Act 2015

Monitor adherence to internal policies and regulatory frameworks

Stay updated on regulatory changes and implement necessary adjustments

🔹 AML / KYC / CDD

Implement and monitor Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) policies

Review and verify Know Your Customer (KYC) and Customer Due Diligence (CDD) documentation

Identify and report suspicious transactions as per regulatory requirements

🔹 Internal Audit

Conduct periodic audits of trading activities, client accounts, and operational processes

Review trade logs, margin financing, and client asset segregation

Identify control weaknesses and recommend corrective actions

🔹 Regulatory Reporting

Prepare and submit required regulatory reports including Liquid Capital (LC) statements and Net Worth certificates

Ensure timely submission of reports to SECP, PSX, and relevant authorities

🔹 Risk Management

Monitor and maintain Risk Management System (RMS) parameters

Ensure client exposure and trading limits remain within approved thresholds

Assist in managing operational and financial risk controls

🔹 Complaint Handling

Handle investor complaints and coordinate resolution through internal and regulatory channels

Manage communication with SECP complaint portals when required

🎓 Required Qualifications

Bachelor’s or Master’s degree in Finance, Accounting, Business Administration, or Law

Professional qualifications such as ACCA (Affiliate/Member), CA Inter, or ACMA will be preferred

Must be eligible for or willing to obtain IFMP Compliance Officer Certification (SECP requirement)

💼 Experience Requirements

2–5 years of relevant experience in compliance, audit, or brokerage operations

Experience in a PSX-registered brokerage house will be strongly preferred

🧠 Knowledge & Skills

Strong understanding of SECP regulations, PSX Rulebook, CDC, and NCCPL systems

Proficiency in MS Excel and reporting tools

Familiarity with brokerage back-office systems

Strong analytical, documentation, and problem-solving skills

High level of integrity and attention to detail

⚖️ Eligibility Criteria

Must meet SECP “Fit and Proper” criteria

Clean professional and financial record

Strong ethical standards and compliance mindset

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