AML/KYC Compliance Officer
Full-time
Recex
Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.
- Prepare and submit periodic reports to regulatory authorities and exchanges.
- Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.
- Conduct periodic audits to assess compliance with policies, procedures, and regulatory standards.
- Oversee KYC (Know Your Customer) and AML (Anti-Money Laundering) processes to ensure accuracy and adherence.
- Assist in drafting and updating internal compliance policies, procedures, and manuals.
- Train employees on compliance requirements and industry regulations.
- Coordinate with different departments to enforce compliance standards.
- Investigate and report compliance breaches or violations to the appropriate authorities.
- Provide support during regulatory audits and inspections.
- Identify compliance risks and recommend mitigation strategies.
- Ensure robust controls are in place for sensitive areas like client data protection and insider trading.
- Support senior management in making informed compliance-related decisions.
a degree in hospitality, business administration, or a related field is
1-3 years of experience in a similar role is preferred.
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
- The company started its journey in the year 1994 as a financial service provider and from thereon it moved ahead by expanding and diversifying its scope of services.
Wholesale Debt Market Segment
Research Analyst Services
Mutual Fund & IPO Marketing
We serve over +1,00,000 varied investor ---s across 600 locations in over 20 states in India through our various businesses.
Vacancy posted more than 2 months ago
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