Job DescriptionJob Summary NWe are looking for a detail-oriented skilled to manage PMLA (Prevention of Money Laundering Act) and AML/KYC compliance activities within the Equity Broking Operations team. The role involves ensuring regulatory compliance with SEBI, FIU-IND, NSE, BSE, NSDL/CDSL guidelines, conducting due diligence, transaction monitoring, and supporting regulatory audits. Experience in broking operations and regulatory compliance is essential. NKey Responsibilitiesn N Perform Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) as per PMLA guidelines. N Review and verify KYC documents for individual, HUF, corporate, trust, partnership, and NRI clients. N Conduct AML screening against sanctions, PEP, and adverse media databases. N Monitor client transactions and identify suspicious or unusual trading activities. N Prepare and escalate Suspicious Transaction Reports (STRs) and other compliance reports to the Compliance team. N Ensure timely updation of KYC records and periodic client review. N Handle PMLA alerts generated through surveillance systems and maintain proper documentation. N Coordinate with Internal Audit, Compliance, Risk,



and Operations teams during inspections and audits. N Maintain records as perSEBI, FIU-IND, NSE/BSE, and Depository requirements. N Ensure compliance with internal SOPs and regulatory circulars. N Assist in regulatory reporting, client risk categorization, and compliance MIS. N Keep abreast of changesin SEBI, FIU-IND, PMLA, and AML regulations. NnRequired Skills Nn Strong understanding of PMLA, AML, KYC, FATCA, CRS, and CKYC regulations. N Knowledge of SEBI, NSE,BSE, NSDL/CDSL compliance requirements. N Understanding of EquityBroking operations, client onboarding, and back-office processes. N Familiarity with transaction monitoring and surveillance systems. N Good analytical, documentation, and communication skills. N Proficiency in MS Exceland operational reporting. NnPreferred Qualifications Nn Graduate/Post Graduate (Commerce, Finance, Management, or related discipline). N AML/KYC certification will be an added advantage. NnInterested candidates can share their resume on [email protected]

📌 Compliance Manager (Alibag)
🏢 Anand Rathi Share and Stock Brokers
📍 Alibag