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Compliance Role - Broking Firm (4-8 yrs)
Job Description
Candidate with experience for PMLA and Broking and DP Compliance Function in due priority.
His role is mainly supervisory and advisory in below areas:
1. Ensure timely generation of Alerts and disposing off, maintain MIS, filing STRs etc.
2. Ensure AML related FIU filings and reporting compliances
3. Ensure Surveillance Alerts related filings and reporting compliances
4. Ensure periodic and instance based operational compliance requirements relating to Exchange, Depository, KRAs, FATCA/CRS etc.
5. To handle exchange, depository and internal audits, including system audit, cyber security audit etc.
6. Ensure efficient functioning of the team and assist team members to achieve optimum performance levels.
Location: Surat
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