Compliance SpecialistMONEYLICIOUS INVESTMENTS AND CONSULTING SERVICES PRIVATE LIMITED • baddi, himachal pradesh, in
No longer accepting applications
Compliance Specialist
MONEYLICIOUS INVESTMENTS AND CONSULTING SERVICES PRIVATE LIMITED • baddi, himachal pradesh, in
12 hours 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
Create a job alert for this search
Compliance Specialist • baddi, himachal pradesh, in
Related jobs
Privacy and Legal Compliance Specialist
Emeritus • Baddi, India
Daskalos’ or ‘Institute’) seeks an experienced legal professional to oversee privacy legal, compliance, internal audits, and operational privacy management for its physical campuses across India.Th...Show more
Last updated: 8 days ago • Promoted
Cyber Security Specialist
Tiger Advisory • Baddi, India
Duration : 6 months with potential for extension.Tiger Advisory provides premier cybersecurity consulting services, helping clients manage risks, strengthen resilience, and achieve compliance in an...Show more
Last updated: 4 days ago • Promoted
Security Compliance Engineer
ImageKit.io • Baddi, India
Note : This is a remote-only role.As long as you have a stable internet connection, you can work from anywhere in the world.
We do meet up if you are in Delhi NCR or on our company trips.Have you ev...Show more
Last updated: 4 days ago • Promoted
Audit Team Lead / Sr. Team Lead
Shore Group Associates • baddi, himachal pradesh, in
Since 2006, Shore Group Associates has been providing expertise in strategy, innovation, operations, and technology to help businesses transform and thrive.
Our team, with over 30 years of experienc...Show more
Last updated: 2 days ago • Promoted
HR Operations Expert - 50817
Turing • baddi, himachal pradesh, in
Based in San Francisco, California, Turing is the world’s leading research accelerator for frontier AI labs and a trusted partner for global enterprises deploying advanced AI systems.Turing support...Show more
Last updated: 18 days ago • Promoted
Data Privacy and Compliance Analyst
Cimpress • Baddi, India
We are seeking a self-motivated compliance and data privacy analyst to support National.Pen's & Compliance and Data Privacy Program.
We are looking for an individual familiar with.SOX ITGC complianc...Show more
Last updated: 8 days ago • Promoted
Head Sterile Quality Compliance
Immacule Lifesciences • Nalagarh, Himachal Pradesh, India
Responsible for driving excellence in sterility assurance practices, meeting the global regulatory requirements, drive sterility Assurance Program at site.
Conduct sterile quality management review ...Show more
Last updated: 30+ days ago • Promoted
Lead Generation Specialist (Technology business)
Timus Consulting Services • baddi, himachal pradesh, in
Lead Generation Specialist (Technology business).Timus Consulting is seeking a proactive and data-driven Lead Generation & Nurturing Specialist to support our growth in the digital technology, Gove...Show more
Last updated: 12 hours ago • Promoted • New!
Senior Portfolio Risk Analyst
Arcana • baddi, himachal pradesh, in
Arcana is a portfolio intelligence platform used by hedge funds and asset managers to analyze performance and risk.We’re rethinking the tools institutional investors rely on—and we’re hiring analys...Show more
Last updated: 9 days ago • Promoted
Senior Compliance Manager
KuCoin Exchange • Baddi, India
Maintain registration and license in India.Provide compliance support to all business units of the company in India.Manage KYC and AML matters, to implement controls over KYC and AML in order to co...Show more
Last updated: 8 days ago • Promoted
Entity Compliance Specialist
Multiplier • Baddi, India
The global hiring revolution is shaping a future where talent can thrive everywhere, driving innovation and progress on a global scale.
Multiplier is at the forefront of this change.By removing barr...Show more
Last updated: 1 hour ago • Promoted • New!
Legal Support - Contractual
MeltPlan • baddi, himachal pradesh, in
Legal Support - Full Time (Remote, on monthly contract basis).Meltplan, a stealth startup poised to revolutionize the built environment, is seeking Legal Support Specialists working full time on a ...Show more
Last updated: 1 day ago • Promoted
Compliance and Contracts Specialist
Emeritus • Baddi, India
The Compliance & Contract Management Services Department is looking for a Compliance and Contracts Associate to assess, analyze, draft, review, negotiate and finalize contracts, compliance, invoice...Show more
Last updated: 4 days ago • Promoted
Provisioning Specialist
Sakon • Baddi, India
Manage Customer Day to day activities for the end-to-end Telecommunications and Network Order Process management of Quotes and Order Management, Fulfillment, and Inventory Management.The scope of t...Show more
Last updated: 8 days ago • Promoted
Sterile Quality Compliance Lead
Immacule Lifesciences • Nālāgarh, Republic Of India, IN
Responsible for driving excellence in sterility assurance practices, meeting the global regulatory requirements, drive sterility Assurance Program at site.
Conduct sterile quality management review ...Show more
Last updated: 30+ days ago • Promoted
Strategist / Senior Strategist / Client Strategy Lead — AI & IP Innovation
TT Consultants • mohali district, punjab, in
Own end-to-end packets across all services, combining agentic AI with targeted manual searching to deliver client-ready, reproducible results.
Plan approach; design / iterate prompts; run agentic chai...Show more
Last updated: 4 hours ago • Promoted • New!
Compliance Coordinator
Global University Systems • Baddi, India
Global University Systems is an international education group that empowers students to transform their lives through education.
We believe education drives careers, lives, and society forward, enab...Show more
Last updated: 8 days ago • Promoted
Process and Compliance Analyst
Innodata Inc. • Baddi, India
The Process and Compliance Analyst is a key contributor to driving operational excellence, regulatory compliance, and continuous improvement across the organization.
This role sits at the intersecti...Show more
Last updated: 8 days ago • Promoted