Compliance manager

Anand Rathi Share And Stock Brokers Ltd · Mumbai, India

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.

Interested candidates can share their resume on vidyashinde@