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 escala...