RAD OFFICER
Pakistan Stock Exchange Limited
مجموع سنوات الخبرة :5 years, 6 أشهر
Following are my Job responsibilities:
1) Conduct Thematic Review Onsite and offsite Inspection of Securities Brokers to ensure the compliance status of regulatory requirement as per Securities Broker (Licensing and Operation) Regulations, 2016 and PSX Rule Book.
2) Ensure timely submission of Monthly/half-yearly Liquid Capital Balance Statement filed by Securities Broker and reported the cases of identified discrepancy in Liquid Capital Statement or non-submission of Liquid Capital Statement for necessary enforcement action as per Securities Broker (Licensing and Operation) Regulations, 2016 and PSX Rule Book.
3) Ensure timely submission of Monthly Net worth Statement filed by Securities Broker and reported the cases of identified discrepancy in Net worth for necessary enforcement action as per Securities Broker (Licensing and Operation) Regulations, 2016 and PSX Rule Book.
4) Conduct onsite and offsite inspections of Client Asset Segregation of the Securities Broker.
5) Monitor and analyze the fortnightly/annual Client Asset Segregation Statement filed by the Securities Broker and took enforcement action as per the regulatory requirement in case of identified discrepancy.
6) Collected and examined financial statements and documentation to ensure the compliance status of Securities Broker as per regulatory requirement of Securities Broker (Licensing and Operation) Regulations, 2016 and PSX Rule Book.
7) Monitor Compliances as per regulations, policies & Procedures.
8) Investigated potential non-compliance and/or fraudulent activities reporting to regulatory bodies as needed.
9) Review documentation to prevent fraud money laundering and identity theft losses.
10) Prepare management reports on department activities and findings.
11) Support development of procedural improvements to maximize effectiveness.
12) Analyzed reports for discrepancies and suspicious activities.
13) Followed standard AML procedures and processes.
14) Served as a compliance resource to the organization to ensure all regulatory requirements are met in accordance with regulation.
15) Research, reconcile and document discrepancies to identify corrective action required and report findings.
16) Provides written reports, summary of findings and recommendations and works with Senior Management to address identified deficiencies.
17) Identification and assessment of key risks and key issues impacting Business.
Following were my job responsibilities:
• Preparation and process of all sorts of expense voucher.
• Preparation of sales tax registers withholding tax summaries for statutory statements filling and return filling.
• Daily Bank Reconciliation, Debtors Reconciliation, Payables Reconciliation Invoicing and payments.
• Scrutinizing of Purchase order, Invoices & Receiving Statement and advances
• Verify the punching of invoices & 3 way matching.
• Verify the actual Budget document.
• Preparation of Schedules and Liaison with Auditors.
• Well versed with MIS reporting at management level.
Working knowledge of ERP system.
Finance and Administration Dealing.
Hello I am Hafeez ur rehman I am doing bachelors in business Administration from shaheed Benazir Bhutto University Shaheed Benazir Abad. I have been completed my 4 years of graduation with 3.82 CGPA as Gold & Silver Medalist