Job Description

Job Description:

Candidate is overall responsible for PMLA 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. 

Key Responsibilities:

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 Depos

itories.

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

System improvement and new development for PMLA and Surveillance mechanism.

Exp : 5 -8 yrs in financial services industry