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Broking Compliance Officer- PMLA
NJ India Invest
posted 12d ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
- Overall handling of PMLA and Surveillance (BSE, NSE CDSL & NSDL) related compliances.
- Review of STR Alerts and STR filing with FIU and intimation to depositories.
- Random checking of PMLA and Surveillance alerts closed by PMLA/Surveillance team members.
- Client On-Boarding and Post-Boarding Screening activity.
- 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 Depository
- Periodic submission to the Broking and DP Compliance and Operations team.
- System improvement and new development for PMLA and Surveillance mechanism.
Employment Type: Full Time, Permanent
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