Compliance and Operations Manager

We are looking for a Compliance & Operations Manager to join our extremely fast-growing Fintech business with robust experience of handling financial crime related matters, including knowledge of AML / Sanctions / AB&C /Payment Processing/TBML/ Fraud related risk management. The ideal candidate will be comfortable in a fast-paced, multi-tasking and high energy environment.

Responsibilities:

• KYC and Customer Due Diligence (CDD):

1. Ensure that the customer onboarding and periodic reviews are conducted within timeline and ensure adherence to Reserve Bank of India (RBI) KYC regulations.
2. Risk profiling and reporting suspicious transactions to the FIU-IND.
3. Create and maintain KYC records by obtaining information from internal and external sources (firm website, regulatory websites, etc.)
4. Partner with Relationship Management to update system information from initiation to approval of KYC record and report workflow progress to Management.

• AML Monitoring and Investigations:

1. Perform transaction monitoring to detect suspicious or unusual activities.
2. Investigate potential cases of money laundering and submit Suspicious Transaction Reports (STRs) as needed.
3. Stay updated on emerging AML trends and recommend process improvements.

• Sanctions and Screening:

1. Perform Sanctions, PEP and Adverse Media screening in line with Office of Foreign Assets Control ("OFAC"), United Nations Security Council (UNSC), Unlawful Activities (Prevention) Act, 1967 (UAPA), Prevention of Money Laundering Act, 2002 (PMLA) requirements at the least.
2. Stay updated on the latest Sanctions trends affecting the financial landscape and recommend process improvements.

• Payment Operations:

1. Ensure proper controls are in place for all payments processed.
2. All due diligence checks required as per RBI KYC and PA-CB guidelines related to Foreign Trade are adhered to for all payments processed.

• Regulatory Compliance:

1. Ensure compliance with local and international laws, including OFAC, UN, India and regions we serve.
2. Assist in preparing for and responding to regulatory audits and inspections.
3. Maintain accurate records for audit purposes.

• Query Resolution:

1. Address internal and external stakeholder queries related to Compliance processes.

• Ad-Hoc Operational Tasks:

1. Undertake ad-hoc tasks as assigned by Supervisor.
2. Demonstrate flexibility to handle unforeseen challenges.
3. Perform Quality Assurance on all AML/CFT functions as per the stipulated frequency.
4. Provide training to all staff on Compliance matters as appropriate.

• Reporting and Communications:

1. Prepare compliance reports for senior management and regulators.
2. Collaborate with internal departments to resolve compliance-related issues.
3. Provide constructive feedback and guidance to analysts
4. Research and conduct analytics

• People:

1. Manage production and quality results
2. Lead an Enhanced Due Diligence function
3. Lead change; resolve conflict

 Qualifications: 

• Bachelor's degree with relevant experience (APO/Deputy MLRO preferred)
• 8+ years in compliance (KYC, CDD, EDD, TBML, Payments, Sanctions)
• CAMS certification or equivalent preferred
• Strong team leader with a proven track record
• Self-starter, with coaching and mentoring skills
• Excellent investigative, research, and communication skills
• Able to manage fast-paced, deadline-driven environments
• Proficient in Microsoft Office
• Experience with India-based regulators

 What BRISKPE Offers: 

• Thriving and dynamic workplace environment with rapid growth. 
• Close collaboration with the founders in a burgeoning early-stage enterprise. 
• Experience transparency, strong leadership, and abundant avenues for personal and professional growth. 
• Adaptability within a culture encourages and enables peak performance. 
• Be a part of ESOPs program, that will help you to grow along with the organization