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 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. N

nRequired Skills
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Solid 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
Positive analytical, documentation, and communication skills. N
Proficiency in MS Exce

📌 Compliance Manager Alibag (India)
🏢 ANAND RATHI SHARE AND STOCK BROKERS
📍 India