Junior Officer- Regulatory Affairs Department
-Preferably 1 year in audit/finance/compliance in financial sector
-Ensure regulatory, operational and statutory compliance of PMEX and brokers.
-Conduct Enquiries, On-site Inspections and Investigations.
-Monitor brokers’ compliance through off-site reporting.
-Perform periodic compliance reviews of the Exchange.
-Handle Investor Complaints & enforce Arbitration Awards.
-Liaise with the brokers and auditors on system audits.
-Maintain proper record of department in hard and soft form.
-Any other responsibility which may be assigned by the Senior Manager RAD.
-Appointment/Removal with recommendation of RAC and approval of the Board
-Excellent communication, regulatory knowledge & analytical skills.
Last Date to Apply: July 15, 2021