Compliance Manager

Job Summary

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.

Key Responsibilities

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

Required Skills

• Strong understanding of PMLA, AML, KYC, FATCA, CRS, and CKYC regulations.
• Knowledge of SEBI, NSE, BSE, NSDL/CDSL compliance requirements.
• Understanding of Equity Broking operations, client onboarding, and back-office processes.
• Familiarity with transaction monitoring and surveillance systems.
• Good analytical, documentation, and communication skills.
• Proficiency in MS Excel and operational reporting.

Preferred Qualifications

• Graduate/Post Graduate (Commerce, Finance, Management, or related discipline).
• AML/KYC certification will be an added advantage.

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