Posted Jan 23, 2023 684 views
Daily Responsibilities
- Processing applications for new memberships / transfers / conversions / Change in registration details/ change in constitution etc.
- Processing applications for broker registrations / renewals.
- Processing applications for registration / de-registration of authorized persons / branches.
- Communicating observations to applicants/brokers and discussion of the same with the applicants/brokers and follow-up and action required for completion.
- Maintain electronic and hard copy record of members.
- Assist in ensuring compliance with applicable regulatory framework.
- Monitoring compliance of margins and clearing deposit requirements.
- Assist in regulatory compliance review of various departments for drafting of compliance reports and follow-up with HODs to ensure compliance.
- Assist in annual system audit of brokers including selection of brokers, collection / submission of audit reports to the SECP and follow-up with brokers to ensure compliance.
- Assist in inspection of brokers including drafting of report and follow-up with brokers to ensure compliance.
- Collection and scrutiny of various off-site compliance reports submitted by the brokers.
- Report actual / potential breach of regulatory framework to the Manager.
- Maintain record of violations/non-compliances.
- Assist in development of policies and procedures related to membership and compliance.
- Prepare reports/information related to membership/compliance for management and regulatory authorities/agencies.
- Assist in providing guidance to members and creating awareness regarding compliance issues.
- Provision of information to the regulator.
- Preparation of monthly MIS.
Any other responsibility which may be assigned by the Manager from time to time.
Job Details
HG Markets
HG Markets is a constituent company of Harvest Group. Harvest group is a renowned business entity of Pakistan operating in the financial sector since 1994. The pioneer company of this group i.e. Harvest Topworth International, is the largest company of the country dealing in derivatives and forex trading. HG Markets, is the corporate member of Pakistan Mercantile Exchange (PMEX) and offers top of the line trading facilities for market participants interested to trade in futures contracts offered by PMEX. Building on the heritage of Harvest Topworth International, HG Markets serves the investment & trading needs of customers around the country. We provide a wide range of benchmark futures and products available on the exchange, covering all major asset classes, acting as a portal where buyers and sellers trade commodities.
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