Kashan Muneer

Results-driven and detail-oriented Compliance Officer with extensive experience in the asset management industry. I am dedicated to ensuring strict adherence to regulatory requirements and internal policies while mitigating legal and compliance risks. With a strong understanding of the complex regulatory landscape, I possess a proven track record of developing and implementing effective compliance programs that promote a culture of ethics and integrity.

Assistant Manager Compliance at Lakson Investment (2025-01 – 2025-12)

As a Compliance Assistant Manager, I am responsible for developing, implementing, and overseeing compliance programs and processes to ensure that firm operate within legal and regulatory frameworks. I monitor and mitigate potential risks and ensure that the operations are conducted with integrity, transparency, and in accordance with applicable laws and regulations.

• Develop, maintain, and update compliance policies and procedures that reflect changes in regulations, business practices, and industry standards.
• Ensuring compliance with trading room operational standards
• Review of fund exposure to ensure compliance with NBFC guidelines
• Implement compliance training programs to educate employees on relevant laws, regulations, and internal policies. Ensure that all employees are aware of and understand their compliance responsibilities.
• Continuously monitor the operations to identify and address any compliance issues. Generate regular reports to senior management and regulatory bodies as required.
• Conduct risk assessments to identify and evaluate potential compliance risks. Develop and implement strategies to mitigate these risks.
• Organize and oversee compliance audits and tests to assess the effectiveness of the compliance program. Address any deficiencies found and report the results to senior management.
• Implement and oversee customer due diligence and anti-money laundering (AML) programs to ensure that the brokerage is not involved in illegal financial activities.
• Maintain thorough records of all compliance activities, including audits, reports, policies, and procedures.
• Review of brokerage commission.
• Keep abreast of all related updates on SECP and MUFAP website.

Assistant Manager Compliance at Alfalah Securities (2024-01 – 2025-12)

• Ensure the all activities comply with all relevant PSX, SECP and other federal laws, as well as industry regulations.
• Develop, maintain, and update compliance policies and procedures that reflect changes in regulations, business practices, and industry standards.
• Implement compliance training programs to educate employees on relevant laws, regulations, and internal policies. Ensure that all employees are aware of and understand their compliance responsibilities.
• Continuously monitor the operations to identify and address any compliance issues. Generate regular reports to senior management and regulatory bodies as required.
• Conduct risk assessments to identify and evaluate potential compliance risks. Develop and implement strategies to mitigate these risks.
• Organize and oversee compliance audits and tests to assess the effectiveness of the compliance program. Address any deficiencies found and report the results to senior management.
• Implement and oversee customer due diligence and anti-money laundering (AML) programs to ensure that the brokerage is not involved in illegal financial activities.
• Maintain thorough records of all compliance activities, including audits, reports, policies, and procedures.
• Serve as the main point of contact for regulatory agencies, auditors, and other external entities regarding compliance matters.
• Conduct or oversee investigations into alleged compliance violations, violations of policies, or unethical conduct. Recommend appropriate actions or sanctions.
• Promote and foster a culture of ethical behavior, integrity, and transparency within the organization.

Compliance / AML - CFT Officer & Audit at AKD Investment Management Limited (2021-01 – 2023-12)

• Ensure compliance with relevant laws, regulations, and internal policies and develop a strong compliance framework. Provide ongoing guidance and support to employees, monitor compliance, conduct risk assessments, and report findings to senior management.
• Stay updated on relevant laws, regulations, and industry guidelines affecting the asset management industry. Ensure the organization's compliance with these requirements, including but not limited to Anti-Money Laundering (AML), Know Your Customer (KYC), and data privacy regulations.
• Develop and deliver compliance training programs to educate employees on their compliance obligations and foster a strong compliance culture within the organization.
• Assess and enhance internal control systems to minimize compliance risks. Collaborate with internal audit and risk management teams to ensure effective control processes are in place.
• Conduct investigations into compliance-related matters, potential violations, or breaches. Coordinate with relevantstakeholders, legal counsel, or regulatory bodies as necessary. Recommend appropriate disciplinary actions orcorrective measures.
• Assist in the development and implementation of various internal policies, mechanisms and protocols.
• Monitor Daily Compliance and present timely reports to the relevant stakeholders complying with the NBFC Regulations 2008, PSX rulebook, and other necessary regulatory compliance. I am also responsible for Quarterly and annual reporting (Risk Assessment, CRS and FATCA reporting).
• Audit Planning (Risk-Based Approach) – Plan yearly audit plan and conduct accordingly.
• Identifying Findings & Observations and collaborate with the observation or improvement operations
• Audit Reporting to the senior management or Board of Director
• Follow-Up & Monitoring on continuous

Compliance Assistant at Taurus Securities Limited (2020-01 – 2021-12)

• Assisted the Compliance Manager in implementing and monitoring the firm's compliance programs, policies, and procedures.
• Conducted regular compliance reviews to ensure adherence to regulatory requirements and internal policies.
• Assisted in the coordination and execution of AML and KYC procedures, including customer due diligence and suspicious activity monitoring.
• Worked closely with various internal departments to ensure compliance with relevant regulations and industry best practices.
• Provided general administrative support to the Compliance Department.
• Assist in the development and implementation of various internal policies, mechanisms and protocols.
• Monitor Daily Compliance and present timely reports to the relevant stakeholders complying with the NBFC Regulations 2008, PSX rulebook, and other necessary regulatory compliance. I am also responsible for Quarterly and annual reporting (Risk Assessment, CRS and FATCA reporting).
• Audit Planning (Risk-Based Approach) – Plan yearly audit plan and conduct accordingly.
• Identifying Findings & Observations and collaborate with the observation or improvement operations
• Audit Reporting to the senior management or Board of Director
• Follow-Up & Monitoring on continuous

B.S in Business Administration – Federal Urdu University of Arts, Sciences & Technology (2016-12 – 2021-02)

Higher Secondary School – Aisha Bawany College (2014-12 – 2016-12)

Secondary School – Kamal Ataturk Secondary School (2012-12 – 2014-12)