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Job Role

Candidate is overall responsible for PMLA (Prevention of Money Laundering Act, 2002) and Surveillance related compliance. He has also looked after client onboarding and post boarding activities which includes STR

Filing and Review STR alerts. He also needs to handle the team of executives. Candidate from Indian financial broking industry and has experience in Indian compliance / PMLA process of BSE, NSE, CDSL and NSDL.

● Overall handling of PMLA and Surveillance (BSE, NSE CDSL & NSDL) related compliances.

● Review of STR Alerts and STR filing with FIU and intimation to depositories.

● Random checking of PMLA and Surveillance alerts closed by PMLA/Surveillance team members.

● Client On-Boarding and Post-Boarding Screening activity.

● Checking FIU notifications on a regular basis.

● Preparation of PMLA and Surveillance MIS on a monthly basis.

● Quarterly reporting of Surveillance alerts of Exchanges and Depository

● Periodic submission to the Broking and DP Compliance and Operations team.

● System improvement and recent development for PMLA and Surveillance mechanism.

📌 Pmla Compliance Surat
🏢 RECEX
📍 Surat