Job Description Job Summary n n We are looking for a detail-oriented professional 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 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 n Required Skills n n Robust 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 reporting. n 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 n Interested candidates can share their resume on

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