PMLA Compliance Officer

AXIS DIRECT

3 - 8 years

10 - 12 Lacs

mumbai

Posted:None| Platform:

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Skills Required

fiu pmla customer due diligence sebi str aml nism

Work Mode

Work from Office

Job Type

Full Time

Job Description

Role & responsibilities

Ensure strict adherence to
PMLA, 2002
and
SEBI AML/CFT Guidelines
within the broking environment.
Conduct periodic
Customer Due Diligence (CDD)
,
Enhanced Due Diligence (EDD)
, and KYC reviews.
Monitor daily transactions for suspicious patterns; generate and file
Suspicious Transaction Reports (STRs)
with
FIU-IND
.
Handle PEP (Politically Exposed Persons) screening, negative list monitoring, and sanctions compliance.
Coordinate with internal departments to address PMLA-related queries and support regulatory inspections.
Maintain robust record-keeping for audit readiness and regulatory review.
Conduct AML training and awareness sessions for front-office and compliance staff.
Assist in responding to SEBI, NSE, BSE, and internal audit queries related to AML/PMLA.
Periodically update and implement AML/CFT policies in line with evolving regulations.

Preferred candidate profile

Graduate/Postgraduate in Law, Commerce, Finance, or related field.
3 to 7 years of relevant compliance experience, preferably in
broking/stock market firms
.
Good understanding of
SEBI regulations
,
PMLA rules
,
FIU-IND guidelines
, and AML best practices.
Familiarity with trading platforms, DP operations, and broking compliance processes.
Strong analytical, communication, and documentation skills.
Proficiency in Excel, compliance software, and surveillance systems.

Preferred Certifications

CAMS
,
NISM-Series-III-A (Compliance Officers)
, or similar AML/KYC certification.

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