Job Description

Job Summary

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We 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.

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Key Responsibilities

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Perform Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) as per PMLA guidelines.
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Review and verify KYC documents for individual, HUF, corporate, trust, partnership, and NRI clients.
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Conduct AML screening against sanctions, PEP, and adverse media databases.
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Monitor client transactions and identify suspicious or unusual trading activities.
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Prepare and escalate Suspicious Transaction Reports (STRs) and other compliance reports to the Compliance team.
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Ensure timely updation of KYC records and periodic client review.
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Handle PMLA alerts generated through surveillance systems and maintain proper documentation.
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Coordinate with Internal Audit, Compliance, Risk, and Operations teams during inspections and audits.
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Maintain records as per SEBI, FIU-IND, NSE/BSE, and Depository requirements.
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Ensure compliance with internal SOPs and regulatory circulars.
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Assist in regulatory reporting, client risk categorization, and compliance MIS.
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Keep abreast of changes in SEBI, FIU-IND, PMLA, and AML regulations.
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Required Skills

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Robust understanding of PMLA, AML, KYC, FATCA, CRS, and CKYC regulations.
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Knowledge of SEBI, NSE, BSE, NSDL/CDSL compliance requirements.
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Understanding of Equity Broking operations, client onboarding, and back-office processes.
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Familiarity with transaction monitoring and surveillance systems.
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Positive analytical, documentation, and communication skills.
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📌 Compliance Manager Mumbai
🏢 ANAND RATHI SHARE AND STOCK BROKERS
📍 Mumbai