Surveillance Manager

As a professional in the field of Anti-Money Laundering (AML) compliance, your primary focus will be on maintaining the AML program documentation and establishing parameters for screening financial transactions to prevent money laundering. You will play a crucial role in assisting with all aspects related to AML, including the development of policies, procedures, and recordkeeping for reporting. Your responsibilities will also include assessing, analyzing, and documenting various screening alerts, as well as filing suspicious transaction reports with the Financial Intelligence Unit (FIU) and other regulatory bodies. It is essential to have a good understanding of adverse/negative media, Politically Exposed Persons, and similar designations to effectively carry out these tasks. In addition, you will be expected to conduct investigations, including suspicious activity and enhanced due diligence, and handle surveillance reporting for broking and depository functions. You will also be involved in providing anti-money laundering compliance training to employees throughout the organization. Furthermore, you will assist in handling Exchange/Depository queries related to market surveillance and investigation, as well as prepare Management Information System (MIS) reports for alert monitoring mechanisms. In terms of additional responsibilities, you will be responsible for disseminating various circulars, reports, and orders, and keeping the Senior Management informed of their impact on the current business scenario. You will also play a role in monitoring insider trading alerts and maintaining relevant documentation. To excel in this role, you should possess expertise in Know Your Customer (KYC), Customer Due Diligence (CDD), Customer Identification Program (CIP), and AML. Experience working with a SEBI registered stock broking firm or a CA firm with knowledge of broking/DP operations, internal/concurrent audits, and AML activities is preferred. Proficiency in financial services transaction data analysis, MS Office tools, multitasking, and working under tight deadlines is essential. Strong interpersonal skills, excellent written/oral communication, and the ability to prioritize in a fast-paced and dynamic environment are key attributes for success in this position. Ideally, you should hold a CS/MBA Finance/PGDBM/Master's Degree in Finance with a minimum of 6-8 years of relevant experience to meet the qualifications for this role.,