Pmla - Compliance

2 weeks ago

Surat Gujarat, India Recex Full time

**Opening**:
1 Nos.**Job ID**:
81781**Employment Type**:
Full Time**Reference**:
**Work Experience**:
5.0 Year(s) To 10.0 Year(s)**CTC Salary**:
6.00 LPA TO 8.00 LPA**Function**:
Risk Management & Compliance**Industry**:
Account/Finance/Tax consulting**Location**:
Surat

**Posted On**:
23rd Apr, 2024
- Job Role:
- related compliance. He has also looked after client onboarding and post boarding activities which includes STR- broking industry and has experience in Indian compliance / PMLA process of BSE, NSE, CDSL and NSDL.
- **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.

**Key Skills**:
Pmla

Surveillance

**Company Profile**

The client is a leading player in the Indian financial services industry known for its strong distribution capabilities. Started in the year 1994 has now diversified into various businesses and today has presence in businesses ranging from financial products distributor network, asset management, real estate, insurance broking, training & development and technology. Our rich experience in financial services, combined with executional capabilities and strong process & system orientation, has enabled us to shape a rising growth trajectory in our businesses.
Product ranges are MF, Insurance, Realty, Information Technology, Wellness, Interiors, Loan etc. The client is based out of Surat in Gujarat, India and has presence in 165+ locations in India, Mauritius & Dubai and has over 1,800+ employees and over 32,500+ Active Advisors (Partners) associated. The total Asset Under Advice of 1,64,000+ Cr. of more than 28 Lacs investors.

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