Job Overview
The Compliance Officer will ensure that Ambeon Securities (Pvt) Ltd operates in full compliance with all applicable laws, rules, and regulations. This role focuses on KYC, client onboarding, verification, AML/CFT compliance, and ongoing monitoring of trading activities.
Key Responsibilities
- Ensure full compliance with SEC, CSE, CDS, and FIU regulations.
- Monitor stockbroking activities for potential violations and recommend investigative procedures.
- Conduct monthly compliance reviews and submit reports to regulatory authorities.
- Act as the liaison with regulatory authorities and coordinate inspections.
- Implement effective KYC, client verification, and AML/CFT policies.
- Conduct ongoing due diligence and monitor for suspicious activities.
- Maintain compliance with company policies and governance frameworks.
- Work with Risk Management and Internal Audit on compliance concerns.
- Conduct compliance training and awareness programs for staff and clients.
- Respond to alleged violations of rules and regulations.
Qualifications & Experience
- Bachelor's degree in Law, Finance, Business Administration, or related field (postgraduate qualification preferred).
- Minimum 5-7 years compliance experience in stockbroking, capital markets, or financial services.
- Strong knowledge of SEC, CSE, CDS, and FIU regulations.
- Prior experience handling compliance audits and regulatory reporting.
Key Competencies
- Strong understanding of capital markets compliance and stockbroking regulations.
- High attention to detail with investigative and analytical capability.
- Excellent communication and interpersonal skills.
- Ability to work independently and manage pressure.
- Proactive in identifying compliance gaps.
Benefits
We offer a competitive salary and benefits package, along with opportunities for professional growth and development.
How to Apply
If you are looking for a challenging and rewarding career, please email your CV along with two non-related referees to careers@ambeongroup.com or call us at 011 5700700. Please mention the position applied for in the email subject.