Chief Compliance Officer

Amanah Investments Limited is seeking an experienced and dedicated Chief Compliance Officer to lead our compliance function and act as the cornerstone of regulatory governance. This senior role requires a professional with extensive knowledge in regulatory compliance, risk management, corporate governance, internal auditing, financial compliance, and anti-money laundering regulations. The Chief Compliance Officer (CCO) will hold institutional authority and report directly to the Chief Executive Officer. The ideal candidate must possess at least five years of relevant experience in brokerage or regulated financial institutions and have a strong background interacting with regulatory bodies, especially the Securities and Exchange Commission of Pakistan (SECP). The Chief Compliance Officer will be responsible for shaping and maintaining a robust compliance culture throughout the institution. This role involves managing a team of five skilled professionals and overseeing all regulatory relationships, including those with SECP, Pakistan Stock Exchange (PSX), Central Depository Company (CDC), and National Clearing Company of Pakistan Limited (NCCPL). The CCO will design and enforce compliance manuals, implement effective anti-money laundering (AML) and know your customer (KYC) frameworks, conduct internal audits, and proactively address any regulatory gaps. This position requires a strong ethical foundation, independence, and the ability to advise senior leadership on governance and regulatory risk matters.
Responsibilities
 

• Lead and manage the compliance team of five members to ensure adherence to all regulatory requirements and internal policies.
• Establish and promote a strong compliance culture that goes beyond documentation and focuses on ethical standards and transparent practices across the institution.
• Maintain and nurture all regulatory relationships with SECP, PSX, CDC, and NCCPL to ensure clear communication and effective compliance with legal and regulatory obligations.
• Develop, update, and implement comprehensive compliance manuals, AML/KYC frameworks, and surveillance controls to meet evolving regulatory standards.
• Conduct regular internal compliance audits and stress tests to identify potential compliance risks and implement corrective measures promptly.
• Proactively identify regulatory gaps and work with relevant departments to remediate issues and prevent future non-compliance.
• Monitor staff behavior, trading practices, and client onboarding processes to ensure alignment with institutional policies and regulatory requirements.
• Advise the Chief Executive Officer on key regulatory risks, governance issues, and compliance strategy to support informed decision-making.
• Ensure continuous compliance training and awareness programs are delivered to employees to maintain a knowledgeable and compliant workforce.
• Oversee risk assessment and mitigation activities related to regulatory compliance, financial controls, and corporate governance frameworks.
• Lead anti-money laundering compliance initiatives, ensuring strict adherence to AML laws and regulations to prevent illicit financial activities.
• Prepare and present compliance reports to senior management and regulatory authorities as required.
• Maintain an independent, credible presence within the organization that upholds the institutions reputation for integrity in regulatory matters.