Compliance Associate with Leading Mnc Broking

2 weeks ago

Mumbai, India Riverforest Connections Full time

Responsibilities:

Handled Compliance department of a large/medium sized broking house.
- Review client documents for account approvals and enquiries
- Obtain mandatory documents and reports as per KYC requirements
- Perform necessary checks (3rd parties and regulatory website etc.)
- Investigating factual and regulatory rule background behind client trading and financial activity
- Creating, reviewing and following up on surveillance reports of financial and trading activity
- Assisting with Anti-Money Laundering Program
- Updating policies and procedures and verifying implementation.
- Interacting with various departments within the organization to meet deadlines.

**Requirements**:

Graduate degree is required. Acceptable majors include: Accounting or Legal
- Good knowledge of KYC compliance.
- Good English communication oral and written skills.
- Good problem solving skills
- Previous experience in the financial industry is required.
- Must be comfortable working in an automated, hands-on environment.

**Skills Required**:
Compliance;US KYC;KYC Process;KYC Compliance

**Location**

Mumbai

**Years Of Experience**

3 to 8 Years

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