jobseeker Logo
Now Apply on the Go!
Download iimjobs Jobseeker App and get a seamless experience for your job-hunting
06/06 Rajeev
HR Head at Arin Consultancy

Views:38 Applications:6 Rec. Actions:Recruiter Actions:6

Compliance Role - Broking Firm (4-8 yrs)

Surat Job Code: 1106362

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

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

Add a note
Something suspicious? Report this job posting.