Risk Investigator

2 weeks ago

Bengaluru Karnataka, India PhonePe Full time

**About PhonePe Group**:
PhonePe is India’s leading digital payments company with 50 crore (500 Million) registered users and 3.7 crore (37 Million) merchants covering over 99% of the postal codes across India. On the back of its leadership in digital payments, PhonePe has expanded into financial services (Insurance, Mutual Funds, Stock Broking, and Lending) as well as adjacent tech-enabled businesses such as Pincode for hyperlocal shopping and Indus App Store which is India's first localized App Store. The PhonePe Group is a portfolio of businesses aligned with the company's vision to offer every Indian an equal opportunity to accelerate their progress by unlocking the flow of money and access to services.

**Culture**

At PhonePe, we take extra care to make sure you give your best at work, Everyday And creating the right environment for you is just one of the things we do. We empower people and trust them to do the right thing. Here, you own your work from start to finish, right from day one. Being enthusiastic about tech is a big part of being at PhonePe. If you like building technology that impacts millions, ideating with some of the best minds in the country and executing on your dreams with purpose and speed, join us

**Position**:Risk Investigator - AML & Surveillance (Stock Broking Transaction Monitoring & Reporting)**

**About the Team: -**

Embark on an exciting journey by joining the vibrant PhonePe AML Operations team as a Risk Investigator in PhonePe Wealth Broking Pvt. Ltd. This role is a vital contribution to the Trust & Safety initiative, focusing on fortifying the security and reliability of PhonePe's products within the dynamic landscape of Stock Broking. If you are driven to shape processes, employ digital tools, and discern financial transactions, patterns, and trends affecting millions of customers, seize this opportunity to collaborate with top-notch professionals and bring your aspirations to life with purpose and agility - this is your opportunity

You will work closely with other members of the Trust & Safety, Compliance, Risk Management, Operating Businesses and Support Functions, assisting in enhancing the oversight of PhonePe’s business activities in India. You will be part of a team with members from a wide range of academic and professional backgrounds.

We are looking for those who possess sound judgment, adaptable to changing regulatory landscape.

**Roles & Responsibilities**:

- Understand the AML & Surveillance workflow in the Stock Broking Domain, adhering to regulatory aspects (NSE, BSE, CDSL, NSDL, SEBI, RBI, FIU).
- Manage and mitigate alerts triggered by various red flags. Conduct research, investigations, and identify risky patterns, trends, and anomalies in complex transactional and customer data to detect, prevent, mitigate, and report suspicious activity related to ML/TF at PhonePe Wealth Broking Pvt. Ltd.
- Hands-on experience in conducting thorough research on higher-risk customers, utilizing systems and databases for investigative purposes, and reviewing high-risk client activity to identify unusual patterns.
- Prepare and file Suspicious Transaction Reports (STR) and ensure timely submission of AML and surveillance alerts to regulators, depositories, and stock exchanges (BSE/NSE).
- Present AML and Surveillance alerts to Senior Management at quarterly intervals.
- Monitor, process, and close surveillance and transactional alerts received from the exchanges and depository.
- Analyze comparative data, prepare reports related to AML risk assessments, and monitor AML-related issues and escalations.
- Support AML monitoring, working with PO/MLRO or APO on monitoring alerts and closure processes, and contribute to reconciliation activities.
- Work independently with mínimal supervision, effectively managing time and prioritizing workload.

**Education & Preferred Qualifications**:

- Requirements include, but are not limited to:_
- Graduate Degree; MBA or other postgraduate degree is a plus.
- Minimum 3-5 years of relevant experience in the Stock Broking domain, focusing on Anti Money Laundering Investigations, Escalations, and FIU-IND Reporting.
- In-depth understanding of AML/CFT framework, SEBI Stock Broking regulations, circulars, Stock Exchange rules, byelaws, and related acts affecting business activities.
- Experience in preparing and filing regulatory reports to SEBI/Exchanges (NSE|BSE)/CDSL/FIU-IND.
- Knowledge of AML tools (Trackwizz, etc.) would be advantageous.
- Any recognized AML certification is a plus.
- Proficient in MS Office (Word/Excel/PowerPoint).
- NISM Certification (Securities Operations, Risk Management, etc.) would be an added advantage.
- A team player with excellent drafting, strong interpersonal skills, and verbal communication.
- Demonstrated ownership and a proven track record of delivering results with strong attention to detail and analytical skills.

Other Competencies:

- Strategic Mindset
- Internal/External stakeholder en

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