Compliance Specialist

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:

Graduate/Postgraduate in commerce, law, or related fields

35 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

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