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Careers

In charge Compliance

EClear Services Limited is seeking applications for the position of “In charge Compliance”.
Qualification ACCA/ACMA qualified or CA part qualified/ qualified
Experience Minimum 8+ experience in compliance function is required, experience in security brokerage industry compliance will be preferred.
Location Karachi
Skills and Competencies
  • Maintaining, updating and reviewing ESL Policies and Procedure.
  • Responsible for identifying potential areas of compliance vulnerability and risk and in developing and implementing corrective action plans for resolution of problematic issues.
  • Responsible for compliance function of ESL.
  • Liaise with the local regulators, legal advisor and handle requests.
  • Reviewing and Authorize Account opening of client and TO broker.
  • Assisting TO broker in back office function.
  • Coordinate for the development of the back office system with other departments i.e. Ops & IT.
  • Conduct periodic client and employees training.
  • Handle customers’ complaints and providing MIS with respect to customer grievances and there resolution.
  • Ensuring proper Data of client in maintained.
  • Actively supervise and assist Compliance Officers and ensure that all tasks are properly done and in a timely manner.
  • Responsible for informing TO broker regarding Filing of Suspicious Transaction Reporting/Currency Transaction Reporting if any case is identified in course of business
  • Review Sanctions screening against the UNSCR and NACTA Database
  • Coordinating with Trading Only Brokers in order to onboard them with Clear Services Limited and ensuring onboarding is done in line with SOP.
  • Responsible for compliance of TO broker during TO broker migration.
  • Guiding and assisting TO broker with respect to client risk assessment.
  • Reviewing the Ultimate beneficial owners Exercise conducted by Compliance officer.
  • Preparation of month End Compliance MIS for review of CCO and CEO.
  • Assisting CCO & Head of Internal Audit in preparation of audit committee papers.
  • Any other tasks assigned by the senior management
Candidates meeting the above criteria may send their resume by Friday the August 20, 2024 at [email protected] mentioning the position name “In charge Compliance” in the subject line.
 
  • Address: CDC House, 99-B, Block B, S.M.C.H.S.,
    Main Shahrah-e-Faisal, Karachi – 74400.
  • Tel: (92-21) 111-111-500
  • Fax: (92-21) 34326031
  • For Investor Grievances & Complaints:
  • Compliance Department
  • Email : [email protected]
  • Fax : (+92 21) 34326036

Last updated: Aug 02, 2024

“In case your complaint has not been properly redressed by us, you may lodge your complaint with Securities and Exchange Commission of Pakistan (the “SECP”). However, please note that SECP will entertain only those complaints which were at first directly requested to be redressed by the company and the company has failed to redress the same. Further, the complaints that are not relevant to SECP’s regulatory domain/competence shall not be entertained by the SECP.”

  • Address: CDC House, 99-B, Block B, S.M.C.H.S.,
    Main Shahrah-e-Faisal, Karachi – 74400.
  • Tel: (92-21) 111-111-500
  • Fax: (92-21) 34326031
  • For Investor Grievances & Complaints:
  • Compliance Department
  • Email : [email protected]
  • Fax : (+92 21) 34326036

Website Last updated: Aug 02, 2024

“In case your complaint has not been properly redressed by us, you may lodge your complaint with Securities and Exchange Commission of Pakistan (the “SECP”). However, please note that SECP will entertain only those complaints which were at first directly requested to be redressed by the company and the company has failed to redress the same. Further, the complaints that are not relevant to SECP’s regulatory domain/competence shall not be entertained by the SECP.”