Summary
Overview
Work History
Education
Skills
Achievements And Awards
Timeline
Hi, I’m

Murtaza Ali

Gul Square Flat-01,1st Floor, Street-13, A-Road, Bihar Colony, Lyari Town, Karachi
Murtaza Ali

Summary

An Assistant Compliance Officer supports the by monitoring internal procedures to ensure adherence to laws, regulations, and company policies. Key responsibilities include conducting compliance audits, updating policy documentation, investigating potential violations, and providing training to employees. This role requires strong analytical skills, attention to detail, and proficiency in documentation

Overview

23
years of professional experience

Work History

Azee Securities Pvt Limited

Asst Compliance Officer And Risk Management
01.2019 - Current

Job overview

  • KYC / Customer Due Diligence (CDD & EDD)
  • Risk Assessment
  • Regulatory Reporting & Audits
  • Transaction Monitoring & CTR/STR Filing
  • Screening of clients with proscribed person’s database
  • Manage and resolve issues of client’s related to investor complains in , CDC & NCCPL

Azee Securities Pvt Limited

Assistant Settlement/Accounts Department And Account Opening Department
08.2003 - Current

Job overview

  • Receive the data from new customer and process the new UIN in the NCCPL system and generate the client code
  • Open the sub account in CDS system and tagged the client code with the sub account
  • Input and maintain the client data in the back office system
  • Manage and keep the record related to account opening
  • Monitoring and managing of all audits of CDC related to account opening
  • Identification, management and control of the operational risk related to account opening
  • Analyzing of KYC data prior to process the new account opening
  • Screening of client database with proscribed person’s list in back office system updated regularly
  • Monitoring all settlement and back office operations
  • Managing accounts of clients, payable/receivable bank reconciliation ,financial statements
  • Manage accounts payable and receivable, invoices, pay order and managing of book keeping and data entry
  • Monitoring of internal audit of accounts
  • Managing of daily payments and receipts of clients
  • Managing of clients ledgers and daily transactions

Azee Securities Pvt Limited

Settlement, CDC & Back Office Operations

Job overview

  • Daily settlement of clients trading in ready and future market
  • Daily trades posting and billing, T+2 clearing
  • Roll over future contracts
  • Monitoring daily clients exposure positions and payments
  • Handling clients queries with respect to trading, billing and commission and resolve them at earliest Pledging of securities
  • Monitoring of sub account of clients with respect to pledging and delivery positions
  • Transfer of shares to other broker or to IAS accounts of clients
  • Updating of shares received from client
  • Conversion of physical shares into electronic mode.

Azee Securities Pvt Limited

Assistant Accountant

Job overview

  • Salaries, Revenue & Billing Department
  • Accounts & Revenue Issues Related to Salaries any Branch
  • All issues related to Equity Dealer & Customer Services
  • Maintain for CGT (Capital Gain Tax) All Clients
  • Maintain for CGT, Tariff All Clients

Audit Responsibility

Job overview

  • Checking for Account Opening Form for All Client
  • Ledger, CDC, Transition Sheet

Education

University of Agriculture

Master’s from P- Science
01-2008

University Overview

Skills

  • MICRO SOFT WINDOWS-95 ADMINISTRATOR
  • MICRO SOFT MASTER WINDOWS-95 POWER USER
  • MICRO SOFT WINDOWS-98 ADMINISTRATOR
  • MICRO SOFT MASTER KEY BOARD TYPIST
  • Database Operator
  • Oracle Database Operating System
  • MICRO SOFT WORD-97 / 2000
  • MICRO SOFT EXCEL-97 / 2000
  • MICRO SOFT POWER POINT-97 / 2000

Achievements And Awards

Achievements And Awards
Best Appreciation for the Year-2005-20014, I was awarded for the Asst. Settlement Executive in Pakistan Stock Market

Timeline

Asst Compliance Officer And Risk Management
Azee Securities Pvt Limited
01.2019 - Current
Assistant Settlement/Accounts Department And Account Opening Department
Azee Securities Pvt Limited
08.2003 - Current
Settlement, CDC & Back Office Operations
Azee Securities Pvt Limited
Assistant Accountant
Azee Securities Pvt Limited
Audit Responsibility
University of Agriculture
Master’s from P- Science
Murtaza Ali