Manager - PMLA - Broking (3-7 yrs)
Manager - Prevention of Money laundering Act (Broking)
- Client On-Boarding and Post-Boarding Screening activity.
- Review of STR Alerts and STR filing with FIU and intimation to depositories.
- 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 Depositories.
- System improvement and new development for PMLA and Surveillance mechanism.
- Random checking of PMLA and Surveillance alerts closed by PMLA/Surveillance team members.
- Periodic submission to the Broking and DP Compliance and Operations team.
- Overall handling of PMLA and Surveillance (BSE, NSE CDSL & NSDL) related compliances