7 Pmla Jobs

The Compliance Officer in Stock Broking & Depository Participant department plays a crucial role in ensuring the company's adherence to regulatory and statutory requirements set by SEBI, Stock Exchanges (NSE, BSE), Depositories (CDSL), and other governing bodies. Acting as a liaison between the organization and regulators, the Compliance Officer focuses on risk mitigation, compliance reporting, and ethical governance. Responsibilities of the Compliance Officer include: - Ensuring regulatory compliance with SEBI, NSE, BSE, CDSL, and PMLA guidelines. - Monitoring daily operations to comply with circulars and directives from regulatory bodies. - Filing periodic regulatory reports such as SEBI Monthly/Quarterly/Annual reports, Exchanges surveillance reports, and Depository participant audit reports. - Maintaining internal policies in line with SEBI Stock Broker & DP Regulations. - Supervising client onboarding, risk profiling, PMLA checks, and AML procedures. - Monitoring client trades for suspicious activities and escalating alerts appropriately. - Facilitating internal audits, mock inspections, and regulatory inspections. - Maintaining statutory registers, records, and communication logs. - Handling client complaints and grievance redressal effectively. - Conducting compliance training for employees and disseminating regulatory circulars. - Reporting compliance updates and risk summaries to the Board of Directors. - Ensuring fair pricing, transparency, and cybersecurity compliance in business processes. - Acting as a point of contact with regulators and responding to regulatory correspondence promptly. Key Skills & Qualifications required for the role: - Educational Qualification: Graduate/Postgraduate in Commerce, Law, or Finance. Preferred: LLB /MBA Finance / Certified Compliance Professional. - Experience: Minimum 5-8 years in compliance roles within Stock Broking / DP operations. - Technical & Functional Skills: Understanding of SEBI regulations, NSE/BSE systems, CDSL platforms, PMLA, AML/CFT, FATCA guidelines, and compliance software/tools. - Behavioural Skills: High integrity, attention to detail, excellent communication, analytical, and problem-solving skills. - Regulatory Mandates: Must be designated as Compliance Officer as per SEBI regulations and report under SEBI (Stock Broker) Regulations and SEBI (DP) Regulations. Must maintain independence from sales, marketing, or trading activities for compliance. This position requires a dedicated individual with a strong regulatory compliance background and the ability to navigate complex regulatory frameworks effectively.,

Key Responsibilities : Monitor, review, and analyze financial transactions to detect potential money laundering activities. Conduct enhanced due diligence (EDD) and customer due diligence (CDD) as required. Investigate and report suspicious activity through the filing of SARs (Suspicious Activity Reports). Use AML software tools to identify unusual patterns or transactions. Work closely with compliance, risk, and legal teams to ensure adherence to regulatory requirements. Maintain accurate documentation and audit trails of all case files and investigations. Stay up-to-date with AML regulations and best practices. Required Skills & Qualifications : Any Graduation 2+ years of relevant experience in AML, KYC, Transaction Monitoring, or Compliance. Familiarity with global AML laws and regulations (e.g., PMLA, FATF, OFAC). Strong analytical, research, and communication skills. Ability to work in a fast-paced, high-pressure environment and manage shifts. Shift & Work Environment Rotational shifts Willingness to work in a compliance-driven and process-oriented setup.

—Regulatory inspections of commodity & Stock market —Well versed with internal audits, DPaudits, special & Spot inspections, verification of data submitted by depts —Coord. & Exchange submission, sending a suitable reply to the regulatory authorities Required Candidate profile —Exchanges exp: NSE, BSE, MCX —SEBI, RBI, PMLA regulations —Surveillance & audit tools —Trading platform compliance —Data privacy & information security protocols —Compliance & exchange formats

Key Responsibilities Perform internal audits of stock broking operations, including trade execution, client account handling, and regulatory reporting. Review compliance with SEBI, NSE, BSE, and other applicable regulatory frameworks. Conduct checks on KYC, PMLA, risk management systems, client fund segregation, and margin reporting. Audit back-office processes: demat accounts, client ledger reconciliation, and payout/payin mechanisms. Verify dealer and terminal operations, order execution procedures, and error reporting. Assess the adequacy and effectiveness of internal controls and suggest improvements. Prepare detailed audit reports highlighting findings, risks, and corrective action plans. Follow up with departments to ensure timely closure of audit observations. Stay updated on changing compliance requirements and regulatory updates in broking industry. Qualifications & Skills Bachelor's or Master's degree in Commerce, Finance, Accounting, or related field. Professional qualifications like CA, CMA, or CIA preferred. 25 years of experience in broking audit, internal audit, or compliance in a financial services firm. Strong understanding of trading platforms, broking operations, and regulatory environment. Working knowledge of audit tools, MS Excel, and financial systems. Attention to detail, analytical mindset, and strong communication skills.

Ensure compliance with SEBI PMS Regulations Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting Assist in AML/PMLA & Insider Trading Compliance Assist in concurrent, internal, and statutory audits related to PMS.2-3 years of experience in PMS/AIF/MF compliances. Knowledge of SEBI PMS regulations, Companies Act 2013, AML/PMLA, and Insider Trading regulations.

At Zerodha fund house, you will play a key role in enabling the next generation of Indian investors by reimagining mutual funds to create simple and relevant investment solutions. Together with the team behind Zerodha & smallcase, we uphold the values of simplicity, cost-effectiveness, and transparency in the mutual funds sector. Your responsibilities will include: - Assisting in finalizing reports to be filed with SEBI, AMFI, RBI, and the Board of AMC and Trustees. - Updating regulatory documents such as SID, KIM, and SAI. - Drafting notices, addendums, and board communications related to compliance matters. - Pre-clearance of marketing materials and filing the same with the regulator. - Finalizing STR/NTR and other reports as required under PMLA. - Updating Compliance Manual and other mutual fund level policies. You will also be involved in: - Proactively tracking and analyzing new circulars and directives issued by SEBI and AMFI. - Preparing reports on the impact of regulatory changes and implementing necessary adjustments for compliance. - Conducting reviews to ensure compliance with dealing room practices, insider trading regulations, and ethical standards. - Monitoring and analyzing transactions to identify and report suspicious activities or regulatory breaches. - Liaising with exchanges on matters related to listed ETFs and other compliance requirements. - Coordinating with Internal Auditors, Statutory Auditors, and SEBI Auditors to assist in handling SEBI inspections. To be successful in this role, you should have: - Total experience of 3-5 years with a minimum of 2 years in the compliance department of an Asset Management Company/Mutual Fund. - Graduation in any discipline or CS/CA/ICWA/L.L.B/MBA. Join us at Zerodha fund house and be part of a team dedicated to revolutionizing the mutual funds landscape in India.,

Responsible for implementing AML/CFT/KYC policies, conducting risk assessments, and overseeing customer due diligence. Manages regulatory reporting, sanctions screening, and FIU-IND filings. Ensures compliance.