Functional Ownership

- Lead and manage the AML & Surveillance team, setting transparent performance expectations, quality standards, and accountability.
- Act as the primary escalation authority for complex, high-risk AML and surveillance cases.
- Build a solid risk-aware culture while driving team capability, training, and succession planning.

Risk Monitoring & Surveillance

- Oversee the design, review, and continuous refinement of red flag indicators, alert scenarios, and threshold frameworks in collaboration with Product Owners and Technology teams.
- Develop newer scenarios in collaboration with 3rd party service providers and aligned with Exchange themes / internal observations
- Ensure effective monitoring of Authorized Persons (APs) and Branch Surveillance, including investigation, documentation, and regulatory-aligned closure.
- Apply a consistent risk-based approach across client behaviour monitoring and surveillance activities.

Policy, Process & Control Frameworks

- Own the drafting, review, and periodic enhancement of AML policies, process notes, and SOPs,



ensuring alignment with regulatory requirements and internal risk appetite.
- Ensure policies are operationally implementable and effectively embedded across teams.

Regulatory Reporting & External Engagement

- Ensure timely and accurate regulatory reporting, including STRs and other statutory submissions.
- Draft, review, and vet responses to regulatory inspection findings, investigation queries, exchange notices, and supervisory communications.
- Coordinate with internal stakeholders to deliver complete, defensible, and regulator-ready submissions.

Technology, Automation & Innovation

- Drive initiatives to automate AML and surveillance workflows, leveraging advanced analytics, rule optimization, and AI-based solutions.
- Partner with Product, Technology, and Data teams to improve alert quality, reduce false positives, and enhance investigation efficiency.
- Support design, testing, and rollout of compliance technology solutions, including proof-of-concepts and system enhancements.

📌 Chief Manager - Compliance, AML & Surveillance (Pune)
🏢 Bajaj Broking
📍 Pune