Specialist, Transaction Surveillance

5 months ago

Mumbai, India DBS Bank Full time
Specialist, Transaction Surveillance-(WD54002)

Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.

Job Purpose:

Effective monitoring of alerts generated as part of the KYC / AML Surveillance process. Work closely with stakeholders to ensure appropriate monitoring and reporting and also assist in overall management of KYC / AML related processes

Key Accountabilities: 

AML Alert / Surveillance:

Timely monitoring of alerts generated by AML monitoring system (Transaction Surveillance) in line with the internal policies of the bank. Review / Analyze the alert and ensure timely and effective disposition of the alerts. 

Work closely with stakeholders on AML /KYC /Sanctions related items

Work closely with stakeholders including operations, business, compliance, legal, audit and other units on AML / KYC related items

Providing support / Assistance for other AML /KYC requirements

Providing support on various requirements like updation of watch lists / caution lists, filing of regulatory reports (STR/CTR/NTR/FMR reporting)etc

Assistance to other adhoc AML/KYC related activities

Regulatory Reporting

Strong understanding of filing regulatory reportings viz. STR’s, CTR, NTR, CWTR.

Audit & Compliance

Assist the department in audit / compliance related activities. Ensure compliance to all policies and procedures laid down by the bank

Job Duties and Responsibilities: 

(Transaction Surveillance) in line with the internal policies of the bank.

’s

, CTR, NTR, CWTR

, Escalation, Review, etc

Experience:

4-6 years of experience in AML / compliance monitoring / Regulatory Reporting

Good analytical and communication skills


Education/Preferred Qualifications:

Graduate/ Post Graduate and post qualification experience in AML /KYC / Compliance Monitoring

Certifications if any – JAIIB, CAIIB, any certifications on KYC-AML

Core Competencies:

Strong analytical and surveillance skills, in depth understanding of AML risks, knowledge of KYC and Customer Due Diligence, Project management, Team handling

Technical Competencies (List the technical knowledge and skills required for this position.)

Strong proficiency in MS Excel (Macros and Pivots), MS Access, MS Word. Basic usage of MS Powerpoint.

Work Relationship:

•Able to work closely with team members within FCSS & Legal Compliance unit

•Ability to work closely with stakeholders including business, operations and other units to manage KYC / AML risks effectively

•Ability to communicate effectively and should possess good presentation skills

  • Transaction Surveillance Specialist

    3 weeks ago

    Mumbai, Maharashtra, India DBS Bank Full time

    Job Title: Specialist, Transaction SurveillanceDBS Bank is seeking a highly skilled Specialist, Transaction Surveillance to join our team in Legal, Compliance & Secretariat. As a key member of our team, you will be responsible for ensuring the bank's interests are protected by zealously guarding and enhancing its reputation and capital.Key...

  • Surveillance

    5 months ago

    Mumbai, Maharashtra, India National Securities Depository Full time

    RoleAssistant Manager - Surveillance QualificationCA/ICWA/CS/CFA/MBA or equivalent post graduate qualification from reputed/recognised institutes/ universities. - LocationMumbai Experience3+yrs of experience - Monitor of shareholding limits for listed MIIs (Stock Exchanges & Depository). - Monitoring of Debt Investment by Foreign Portfolio Investors. -...

  • AML Surveillance Specialist

    3 weeks ago

    Mumbai, Maharashtra, India Interactive Brokers Full time

    Job Summary:We are seeking a highly skilled AML Surveillance Analyst to join our team at Interactive Brokers. The successful candidate will be responsible for monitoring and surveillance of cashiering transactions in the Asia Pacific region, with a focus on IBHK and IBSG.Key Responsibilities:Monitor and analyze cashiering transactions for potential AML/CTF...

  • Compliance Risk Surveillance Specialist

    1 week ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    At 12542 Citicorp Services India Private Limited, we are seeking a skilled Compliance Risk Surveillance Specialist to join our team. In this role, you will serve as a compliance risk analyst for our Surveillance team, responsible for the design, implementation, and oversight of surveillances to detect behaviors that may violate regulatory rules or internal...

  • AML Surveillance Specialist

    2 weeks ago

    Mumbai, Maharashtra, India DBS Bank Full time

    Job Title: AML Surveillance SpecialistDBS Bank is seeking a highly skilled AML Surveillance Specialist to join our team. As a key member of our Compliance and Risk Management department, you will be responsible for monitoring and analyzing alerts generated by our AML monitoring system.Key Responsibilities:Timely monitoring of alerts generated by AML...

  • Surveillance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. Our mission is to provide a simplified user experience, allowing users to start their investment journey with zero paperwork, seamless digital KYC, automated...

  • Surveillance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. Our mission is to provide a simplified user experience, allowing users to start their investment journey with zero paperwork, seamless digital KYC, automated...

  • CCTV Surveillance Specialist

    3 weeks ago

    Mumbai, Maharashtra, India Apt Resources Full time

    Apt Resources is seeking a skilled CCTV Surveillance Specialist to join their team in Angola, West Africa. As a CCTV Operator, you will be responsible for monitoring and maintaining the CCTV surveillance systems to ensure the safety and security of the store premises.Your main duties will include operating and managing the CCTV equipment, monitoring live...

  • Surveillance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. Our mission is to provide a simplified user experience, allowing users to start their investment journey with zero paperwork, seamless digital KYC, automated...

  • AML Cash Transaction Specialist

    6 days ago

    Mumbai, Maharashtra, India Interactive Brokers Full time

    Key Responsibilities:Monitor and analyze cashiering transactions by Interactive Brokers clients in the Asia Pacific region, with a focus on transactions for IBHK and IBSG.Communicate with clients regarding monitoring and surveillance-related matters.Review and suggest enhancements to existing surveillance systems and reports.Implement approved changes and...

  • Senior Surveillance and AML Operations Specialist

    7 days ago

    Mumbai, Maharashtra, India Upstox Full time

    Job Description:The Surveillance and AML team at Upstox is responsible for designing, implementing, and overseeing a suite of surveillance systems to detect behaviors that may violate regulatory rules or internal policies and procedures. The team works collaboratively with partners across the first and second lines of defense to determine the appropriate...

  • AML Surveillance Analyst

    5 months ago

    Mumbai, India Interactive Brokers Full time

    Responsibilities : The role has regional responsibility and will involve: Assist in the monitoring and surveillance of cashiering transactions by IBKR clients in the Asia Pacific region; with a specific focus on transactions for IBHK and IBSG.Communicate with clients on monitoring and surveillance-related matters.Reviewing and providing suggestions to...

  • Surveillance Manager

    2 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allows users to start their investment journey with zero paperwork, seamless digital KYC, automated payments,...

  • Surveillance Manager

    2 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allows users to start their investment journey with zero paperwork, seamless digital KYC, automated payments,...

  • Surveillance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Paytm Full time

    About Paytm MoneyPaytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allows users to start their investment journey with zero paperwork, seamless digital KYC, automated payments,...

  • Surveillance and AML Team Lead

    3 weeks ago

    Mumbai, Maharashtra, India Upstox Full time

    Job DescriptionJob Title: Surveillance and AML Team LeadLocation: MumbaiJob Summary: We are seeking a highly skilled Surveillance and AML Team Lead to join our team. The successful candidate will be responsible for designing, implementing, and overseeing a suite of surveillance systems to detect behaviors that may violate regulatory rules or internal...

  • Business Opportunities for Government Surveillance Solutions

    3 days ago

    Mumbai, Maharashtra, India Bosch Full time

    Job DescriptionSurveillance Requirements for Provisional GovernmentsWe are seeking a Business Development Specialist to develop business opportunities for surveillance solutions in provisional governments across India. The ideal candidate will have experience in handling similar requirements and possess excellent business acumen.Key Responsibilities:Develop...

  • Trade Surveillance Analyst

    2 months ago

    mumbai, India Nippon India Mutual Fund Full time

    Department: Risk Management Purpose of the Job: The individual will be responsible for identifying potential instances of market abuse such as front running, insider dealing, market manipulation, sharing of information, etc. The aim is to ensure that internal policies and regulatory requirements are complied with and Nippon India’s reputation against...

  • Trade Surveillance Analyst

    2 months ago

    Mumbai, India Nippon India Mutual Fund Full time

    Department: Risk ManagementPurpose of the Job: The individual will be responsible for identifying potential instances of market abuse such as front running, insider dealing, market manipulation, sharing of information, etc. The aim is to ensure that internal policies and regulatory requirements are complied with and Nippon India’s reputation against legal...

  • Trade Surveillance Analyst

    2 months ago

    Mumbai, India Nippon India Mutual Fund Full time

    Department: Risk ManagementPurpose of the Job: The individual will be responsible for identifying potential instances of market abuse such as front running, insider dealing, market manipulation, sharing of information, etc. The aim is to ensure that internal policies and regulatory requirements are complied with and Nippon India’s reputation against legal...