Website Nabil Stock Dealer Ltd.
Nabil Stock Dealer Limited, a subsidiary of Nabil Bank Limited and a licensed Stock Dealer, invites applications from qualified, competent and motivated Nepalese citizens for the following positions:
Posiiton: Compliance Officer
No. of Vacancy: 1
Location: Kathmandu
Job Purpose
To establish, maintain and monitor an effective compliance framework of the Company and ensure that the Company’s operations are conducted in accordance with applicable laws, regulations, directives, guidelines and internal policies, while identifying and mitigating regulatory and compliance risks.
Key Responsibilities
Regulatory Compliance
- Monitor compliance with applicable laws, rules, regulations, directives and circulars issued by SEBON, NEPSE, CDS and Clearing Limited, NRB and other relevant authorities, as applicable to the Company’s operations.
- Keep track of regulatory changes and communicate relevant requirements to concerned departments and management.
- Review the Company’s policies, procedures and operational practices from a compliance perspective and recommend necessary amendments.
- Ensure timely submission of regulatory returns, reports, declarations and other required information.
Compliance Monitoring and Reporting
- Develop and maintain an appropriate compliance monitoring framework, checklist and reporting mechanism.
- Conduct periodic compliance reviews of business and operational activities and identify instances of non-compliance.
- Document compliance observations, recommend corrective actions and monitor their implementation.
- Prepare periodic compliance reports for management, Compliance Committee, Board/Audit Committee or other relevant authorities, as applicable.
AML/CFT and Related Compliance
- Monitor compliance with applicable AML/CFT laws, regulations, directives and the Company’s AML/CFT framework.
- Coordinate with relevant functions regarding customer due diligence, transaction monitoring, suspicious transaction reporting and other AML/CFT requirements.
- Support periodic review and updating of AML/CFT policies, procedures and risk assessment.
Compliance Risk Management
- Identify, assess and monitor regulatory and compliance risks arising from the Company’s activities.
- Advise management and concerned departments on regulatory requirements and potential compliance implications of new products, services or business activities.
- Follow up on regulatory observations, audit findings and compliance-related recommendations until appropriate
Coordination and Advisory
- Coordinate with internal and external auditors, regulators and other relevant stakeholders on compliance-related matters.
- Provide compliance guidance to employees and departments when required.
- Support compliance-related training and awareness programs for employees.
- Perform other duties and responsibilities assigned by the management in relation to compliance and regulatory affairs.
Required Qualification & Experience
- Bachelor’s degree in Management, Finance, Economics, Law or a relevant discipline; Master’s degree or relevant professional qualification will be an advantage.
- Relevant experience in compliance, audit, risk management, banking, securities or capital market is preferred.
- Sound understanding of applicable capital market laws, regulations and regulatory requirements.
- Knowledge of AML/CFT requirements will be an advantage.
- Strong analytical, reporting, documentation and communication skills.
- Ability to work independently, maintain confidentiality and exercise professional judgment.
Key Competencies
- Regulatory and compliance knowledge
- Analytical and risk assessment skills
- Attention to detail
- Integrity and professional judgment
- Report writing and documentation
- Communication and coordination
- Confidentiality
- Ability to work under deadlines
Interested candidates are requested to submit their updated CV and cover letter, clearly mentioning the position applied for, to hr@nabilstockdealer.com.np by 28 September 2026.
Only shortlisted candidates will be contacted for further selection process. The Company reserves the right to shortlist or reject any/all applications without assigning any reason.