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概要
Experienced Compliance Officer with a demonstrated history of working in the financial services industry. Skilled in Internal Audit, Stock Market, Payroll, Training, and Stocks. Strong legal professional with a Master of Business Administration - MBA focused in Accounting and Finance from Khadim Ali Shah Bukhari Institute of Technology.
工作经历
Accounts and Compliance Officer & Internal Auditor
• Prepares Financial Statements.
• Prepare Monthly Compliance report for Board of Directors
• Prepare Monthly Net Capital and Liquid Capital Balance Statement
• Correspondence with Stakeholders (Auditor/ PSX/ SECP/ PMEX/FBR/ BANKS)
• Monthly e-filing FBR/ SRB and Quarterly e-filing to SECP
• Implement any amendment / Modification made by regulators
• Implement internal policies
• Preparing settlements and maintain record of bank balances on daily basis and handling all accounting matters
• Compile and analyze financial information to prepare entries to accounts
• Monitor and review accounting and related system reports for accuracy and completeness
• Interact with internal and external auditors in completing audits
• Also be required to cover for other staff in the finance team.
• Head of settlement department
• Assist in Computing Tax
• Quarterly Financial Reporting e-filing to SECP
• Maintains customer confidence and protects operations by keeping financial information confidential.
• Monitor, Control and minimize risk of Non-compliance
• Present Monthly Compliance report to BOD
• Prepare and submit Fortnightly Assets Segregation Report to Exchange
• Reconcile Bank Statement
Risk Manager- Operations Department
Identify and minimize corporate risk
Monitor clients risk and their portfolios
Monitor blank sale / short sale / Wash trade and report to management regarding such transaction
Report to management if any unauthorized transaction is executed on KATS Terminal
Remind Head of Sales about debit / out of exposure clients, and report to management if no timely action is taken
Assist IA in the operational audit-functions.
Assist IA in the financial audit functions, to the extent delegated.
Assist IA in compliance related issues
Perform any other task that may be assigned from time to time by HOD and Management
Head of Settlement and Risk Manager
Have a good command on Exchange backoffice software “StockXs By Vision Technologies”
Making all types of endorsements & alterations in the Trading.
Preparing settlements and maintain record of bank balances on daily basis
Responsible for making and monitoring of account department’s systems and dynamically making changes whenever required.
Posting of Ledger, Maintaining Vouchers and handling Accounting matters.
Preparing Bank reconciliation statement and other reports
Responsible for any task/assignment as and when given by the Chief Executive.
Training of new/existing Employee if any modification in Settlement Process will be made
Settlement officer,
KATS Operator
Posting of Ledger, Maintaining Vouchers and handling Accounting matters.
Preparing Bank reconciliation statement and other reports
Dealing all kind of affairs pertaining to Stock Market
Monitoring Branches, and coordinate them in a very sophisticated manner
Operating Back office software and making all types of changing
