Legal Manager – Broking-Paytm Money

Key Responsibilities : -

• Regulatory Compliance & Surveillance
• Develop and maintain KYC / AML policies per SEBI & FIU India guidelines.
• Manage KYC procedures, including re-KYC, Customer Risk Classification, and documentation.
• Oversee AML transaction monitoring, reporting, and Suspicious Transaction Reports (STRs) filing.
• Handle surveillance reporting for broking and depository functions, including exchange queries.
• Policy, Process & MIS Management
• Set up screening parameters and update AML software modules.
• Manage periodic MIS on alerts and ensure process documentation.
• Disseminate regulatory circulars, assess impacts, and update stakeholders.
• Investigations & Training
• Conduct quality controls, suspicious activity investigations, and enhanced due diligence.
• Assist in training staff on KYC and AML policies.
• Stakeholder Engagement
• Coordinate with exchanges, depositories, FIU India, and internal teams such as Compliance, Product, Finance, and Operations.

Requirements

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