Senior Manager- Compliance and Surveillance

Experience8 to 12 years of experience in regulatory compliance and trade Surveillance, Equity, Depository, Commodities, etc.QualificationCA / CS / MBA FinanceCore Competences:-Hands on experience in Capital Market regulations and complianceHands on experience in PMLA and Surveillance functions.Effective communication skills with good written and spoken English, including the ability to deliver comprehensive reports promptlyAdvising (including assuring) various stakeholders on applicable compliance areas.Ability to handle team in complex environmentJob Description :-Handling Regulatory Inspections including Regulatory Alerts.Ensuring Products and Processes are evaluated from compliance risk perspective before rill out.Transaction monitoring of clients in broking and depository activities.Handling post onboarding screening of clients and setting parameters for FIU and Exchange.Internal Risk Parameters- Capturing suspicious Alerts from Exchange website (BSE & NSE). Also tracking suspicious alerts internally on a daily basis.Analysis and Investigation of alerts to track Suspicious Transaction done by Client.Coordinating with client for rationale with respect to transaction which seems to be suspicious.Configuration & Implementation of new scenario in system as well as to enhance the existing alerts parameters to make it more comprehensive.Coordinating with Internal departments as and when required for functioning of compliance and surveillance activities.Risk categorisation of Clients based on various parameters.Ensure proper Client due diligence through AML watch list.Perform the surveillance actions on the accounts of SEBI-debarred entities.Resolution of DP Alerts, which are received fortnightly form Depository.Resolve the Exchange queries related to client transactions under PMLA.Ensure preparation of Monthly & Quarterly MIS for Transaction monitoring & Depository Alerts.Filing STR with FIU for any suspicious activity observed in client transactions

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