Zain Shakeel Email & Phone Number

Karachi, Pk

Karāchi, Sindh, Pakistan

Karachi Division, Sindh, Pakistan

Karāchi, Sindh, Pakistan

•Assist in monitoring the trading activities of the Brokerage division and its employees to ensure adherence to the relevant local rules and regulations,•AML and Sanctions programs and group Policies of BMA (PEP Policy, Sanctions Policy, AML Group and Segment Policy, Staff Dealing Policy.•Reviewing KYC/AML documents for new clients as required.•Liaise with the Risk department in monitoring all the customers’ transactional behavior to ensure early detection of suspicious or unusual activity.•Conduct AML checks including but not limited to screening against the relevant sanctions lists.•Handle clients’ complaints and escalate to higher levels, if needed, for further action.•Assist in reporting legal matters to SECP (Securities and Exchange Commission of Pakistan) and PSX (Pakistan Stock Exchange) as per the requirements of the PSX and SECP rulebook.

Karāchi, Sindh, Pakistan

•Assist Chief Compliance Officer in preparation and planning of Annual Compliance program•Reporting to State Bank of Pakistan•Monitoring suspicious transaction & activity•Timely update the sanctioned list•Update Convicted persons from NAB and other concern lists on daily basis•Respond to Law Enforcement Agencies (NAB, CTD, Anti-Narcotics, FIA, Ministry of Foreign Affairs) letters on regular basis•List screening of newly on boarded customers, vendors and employees.•Performing Due Diligence on new clients as per Bank Policy & Regulatory Requirement.•Ensuring completion, maintenance of required CDD/EDD documentation and updating on timely basis.•Monthly validation of ECIB.•Track and maintain Bank wide MIS for regulatory returns.

Karāchi, Sindh, Pakistan

•Responsible to conduct audits of Brokerage firms •Working in Joint Inspection Team (JIT) consisting of all 3 leading pillars of Pakistan’s Capital Market PSX,CDC & NCCPL•Reporting to Oversight Committee consisting of Chief Regulatory Officers of all 3 leading pillars PSX, CDC & NCCPL•Assist in smooth completion of Joint Inspection.•Proper Maintenance of records reviewed during Joint Inspection.•Assist in verifying all applicable laws, NCCPL Regulations and NCSS Procedures and any other Policies implemented from time to time.•Assist in verifying Joint Inspection Regulation and other Policies implemented.•To ensure compliance of Information Security, Business Continuity and Quality Management system, policies & procedures and actively participate in internal and external audits as per their roles & responsibilities.

Head Office

•Team Lead AML/CFT•Supporting all the branches of UBL Insurers Limited around Pakistan •Oversee 30 branches and resolving their queries regarding AML/CFT issues in order to make the customer on boarding process smooth and hassle free. •Review account requests from sale desk and analyzing client data, including due diligence and enhanced due diligence of customer. •To ensure that information obtained is consistent with AML/CFT Policies and Procedures and satisfied regulatory requirements.•Verification of individuals through NADRA VERISYS.•Customers name screening against negative list (OFAC, EU, UN, etc.) through Hot scan , world check and LexisNexis.•To verify clients data against addition and deletion in UNSCR and NACTA list.•Monitor & control Anti Money Laundering and Countering Financing of Terrorism (AML/CFT) portal.

Ms - Economics, Economics And Mathematics

Master Of Business Administration - Mba, Finance, General, 3.54 Cgpa (Chancellor'S Honor Roll)

Bachelor Of Business Administration - Bba, Finance, General, 3.22 Cgpa