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 Responsibilities
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- 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

nRequired Skills
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- Strong 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
- Good analytical, documentation, and communication skills.n
- Proficiency in MS Excel and operational

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