Audit and Compliance Specialist

11 hours ago

Pune, Maharashtra, India beBeeCompliance Full time ₹ 17,60,000 - ₹ 2,24,20,000
Job Title: Audit and Compliance Professional

The role of the Audit and Compliance Professional is a critical one, as it involves ensuring that all regulatory frameworks are adhered to. This includes performing due diligence, identifying suspicious activities, and facilitating effective client onboarding and monitoring processes to mitigate financial crime risks.

Key Responsibilities:
  • Conduct thorough AML KYC reviews to verify Client identity and assess the details provided with regulatory standards.
  • Perform customer due diligence (CDD) and enhanced due diligence (EDD) for Wealth Management clients.
  • Monitor and analyze details to identify suspicious behaviors and potential money laundering or terrorist financing.
  • Prepare and present Suspicious Activity Reports (SARs) and escalate concerns as required.
  • Maintain accurate records of KYC documentation and have client onboarding data updated in relevant systems.

Required Skills and Qualifications:
  • Bachelor's degree in Finance, Business, Law, or related field.
  • Relevant certifications, e.g., CAMS, ACAMS, preferred.
  • Proven experience, minimum 7 years, in AML KYC compliance within a financial institution or related sector.
  • Strong knowledge of KYC, AML laws, regulatory requirements, and customer due diligence procedures.
  • Organizational knowledge of Wealth management, KYC process to onboard entities, i.e., NGO, LLC, LLP, Trust, Funds, Individual, etc.

Benefits:
We offer a flexible and collaborative work culture, where financial strength and stability emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve.

About Our Office:
The Northern Trust Pune office is home to over 3,000 employees, handling various functions, including Operations for Asset Servicing and Wealth Management, as well as delivering critical technology solutions that support business operations across the globe.

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