Job Description Job Summary
n We 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.
n Key Responsibilities
n 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 per SEBI, 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 changes in SEBI, FIU-IND, PMLA, and AML regulations.
n n Required Skills
n n Solid understanding of PMLA, AML, KYC, FATCA, CRS, and CKYC regulations.
n Knowledge of SEBI, NSE, BSE, NSDL/CDSL compliance requirements.
n Understanding of Equity Broking operations, client onboarding, and back-office processes.
n Familiarity with transaction monitoring and surveillance systems.
n Valuable analytical, documentation, and communication skills.
n Proficiency in MS Excel and operational reporting.
n n Preferred Qualifications
n n Graduate/Post Graduate (Commerce, Finance, Management, or related discipline).
n AML/KYC certification will be an added advantage.
n n Interested candidates can share their resume on

📌 Compliance Manager Raigarh
🏢 ANAND RATHI SHARE AND STOCK BROKERS
📍 Raigarh