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Business Descriptor:
Job Summary
We are looking for Surveillance and Compliance Analyst with expertise in client screening, transaction monitoring and Suspicious Transaction Reporting (STR) filing, well versed with Prevention of Money Laundering Act (PMLA) guidelines, regulatory filings, internal controls, handling regulatory inspection, drafting policies, managing customer complaints, etc.
Core Responsibilities & Duties
Monitoring and closure of regulatory, internal and PMLA alerts in compliance with SEBI and Stock Exchange (NSE/BSE) regulations.
Client screening against various sanction lists.
Preparation and submission of quarterly MIS Surveillance reports to regulators.
Co-ordinating with various regulators and handling offsite Inspections of SEBI and Exchanges (NSE & BSE).
Implement and oversee Anti-Money Laundering (AML) and Know Your Customer (KYC) policies.
Monitor regulatory developments and implement necessary changes in policies, process and controls.
Draft and implement Standard Operating Procedures (SOP) as per regulatory requirements.
Mandatory Qualifications & Eligibility
Education: Bachelor’s degree in commerce, Law etc. or Postgraduate in Capital Market.
Experience:
6-15 years of overall experience in stock broking compliance and surveillance role.
Minimum 4 years of hands-on experience in handling regulatory transactional alerts and compliance submissions.
Domain Knowledge:
Solid understanding of the SEBI Stock-Broker Regulations, Intermediaries Regulations and Prevention of Money Laundering Act (PMLA).
Knowledge of all Exchange Member Portals, Surveillance Portals and FIU portal.
Preferred Skills & Competencies
Strong analytical skills and ability to implement the regulatory changes.
Integrity and ability to handle sensitive information with confidentiality.
Excellent communications ski