Compliance SpecialistMONEYLICIOUS INVESTMENTS AND CONSULTING SERVICES PRIVATE LIMITED • Bhubaneswar, Odisha, India
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Compliance Specialist
MONEYLICIOUS INVESTMENTS AND CONSULTING SERVICES PRIVATE LIMITED • Bhubaneswar, Odisha, India
1 day ago
Job descriptionGraduate / Postgraduate in commerce, law, or related fields 3–5 years of surveillance experience in a SEBI-registered stockbroker / DP (preferably fintech / discount brokers) Strong knowledge of SEBI, NSE, BSE, CDSL / NSDL regulations, PMLA, KYC, CDD, CIP Hands-on TrackWiss experience is essential Expertise in monitoring & reporting suspicious transactions (internal + external alerts) Understanding of adverse media and PEP screening Excellent analytical, communication, and problem-solving skills; high attention to detail
We are looking for an experienced Compliance-Surveillance Specialist to ensure full compliance with SEBI, Exchanges, Depositories, FIU, and other regulatory bodies. The ideal candidate will have strong expertise in PMLA, surveillance systems, capital market regulations, alert monitoring, investigation, and reporting.
Key Responsibilities :
- Ensure daily compliance with SEBI and Exchange / Depository guidelines (Surveillance & PMLA)
- Implement surveillance themes prescribed by Exchanges / Depositories / FIU
- Investigate and close alerts generated by regulatory bodies within timelines
- Maintain AML documentation and define transaction-screening parameters
- Handle Exchange / Depository queries related to surveillance and investigations
- Prepare MIS for alert monitoring
- Strong understanding of ASM, GSM, ESM, T2T and other surveillance actions
- Conduct quality reviews on suspicious activity and enhanced due-diligence cases
Qualifications :
#Hiring #SurveillanceSpecialist #SEBICompliance #AML #StockbrokingJobs #FintechJobs #RegulatoryCompliance #BengaluruJobs #ComplianceJobs #TrackWiss #FinancialCrimePrevention #JobOpening
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Compliance Specialist • Bhubaneswar, Odisha, India
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