● To comply with all Non Banking Finance Company (NBFC) Rules and Regulations published by the Securities and Exchange
Commission of Pakistan (SECP).
● Supervision of daily Compliance Report sent to the Investment Committee.
● Ensuring detailed Know Your Customer checking for new investors.
● Real time monitoring of exposures at the time of every investment deal.
● Review of Monthly Fund Manager Report.
● Preparing share quantity reckons for all equity funds on daily basis.
● Working on any queries raised or data required by Trustee or the Regulator.
● Dealing with day to day Compliance related tasks.
● Review the work of colleagues when necessary to identify compliance issues and provide advice or training.
● Prepare reports for Sr. Management and external regulatory bodies as appropriate.
● Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies.

Working as Assistant Manager Compliance. Primarily my role encompasses the following:

• To comply with all Non Banking Finance Company (NBFC) Rules and Regulations published by the
Securities and Exchange Commission of Pakistan (SECP).
• Supervising my team for daily reporting of Compliances to Investment committee.
• Implementation of any new Circular or Notice issued by SECP
• To prepare monthly compliance data for Fund Manager Report (FMR)
• To prepare monthly working for reviewing of monthly SCRS return made by the Fund Accounting
Department to Securities and Exchange Commission of Pakistan (SECP).
• Calculating monthly return of Discretionary clients.
• Checking of equity and money market deals on daily basis to be in line with Non Banking Finance
Company (NBFC) Rules and Regulations and Offering Document of the particular fund.
• Ensuring compliance of Investment Advisory agreements and their investment.
• To conduct compliance audit of different departments as per their manuals on quarterly basis.
• Preparation of quarterly compliance report along with the Head of Department.
• Checking of high risk customers and other day to day matters related to the operations department.
• Review of tasks allotted to my team on monthly basis.

Working as an Associate Compliance. Primarily my role encompasses the following:
• To coordinate with Investment committee regarding daily investment limits to be in line with the NBFC
• Implementation any new Circular or Notice issued by SECP
• To prepare monthly compliance data for Fund Manager Report (FMR)
• Review all compliance requirements set by the SECP and Mutual Funds Association of Pakistan (MUFAP).
• Communicating with The Trustee regarding any discrepancy.
• Ensuring lines and limits before any investment by the Fund Management.
• Ensuring compliance of Investment Advisory agreement and their investment.
• Ensuring accuracy & completeness of Investment Committee Minutes & Memos.
• To comply with all Non Banking Finance Company (NBFC) Rules and Regulations published by the Securities and Exchange Commission of Pakistan (SECP)

Working as an Audit Associate (Intern) in Audit & Assurance department, I was been posted to several clients such as HSBC, Habib Metropolitan Bank Limited, UBL & JS Funds. My key responsibilities included: • To ensure completeness of Know Your Customer (KYC) & Anti Money Laundering (AML) documents
• Performing audit of accounts receivable and payables
• Performing audit on different heads of Financial Statements
• Preparing Gratuity Fund account
• Performing walkthroughs and test of controls
• Performing substantive procedures
• Audit of other assets and other liabilities
• Preparing Gratuity Fund account
• Preparation of Management Letter