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
