Compliance Manager • Junior

Who you are

You are a recent graduate or postgraduate in Commerce, Finance, Economics, or a related field, eager to start your career in surveillance within the Capital Markets industry. With 0-3 years of experience, you have a foundational understanding of AML/CFT guidelines and SEBI regulations, and you are keen to learn more about trade surveillance processes. You possess strong analytical skills, allowing you to identify suspicious or unusual transactions effectively. Your attention to detail ensures that you maintain accurate records for audit and reporting purposes, and you are comfortable coordinating with various stakeholders to ensure timely closure of alerts.

You are familiar with client screening processes and understand the importance of adhering to regulatory and internal compliance standards. You are proactive in managing alerts generated from CDSL and internal systems, and you communicate effectively with clients to gather additional information when necessary. Your ability to work collaboratively with internal teams, such as Operations, RMS, and Compliance, makes you a valuable asset in the surveillance process.

What you'll do

In this role, you will assist in executing the client end-of-day screening process according to regulatory and internal guidelines. You will support the maker-checker process for client due diligence and periodic reviews, ensuring that all necessary checks are completed accurately. Monitoring and reviewing alerts generated from CDSL and internal depository systems will be a key part of your responsibilities, as you analyze these alerts to identify any suspicious or unusual transactions.

You will coordinate with internal stakeholders to clarify and close alerts, sending emails to clients for additional information or clarifications as needed. Maintaining and updating the Management Information System (MIS) for all alerts generated, closed, and pending actions will be crucial for effective reporting. You will prepare and circulate periodic reports to relevant teams and management, assisting in filing Suspicious Transaction Reports (STRs) to FIU-IND under the supervision of senior team members. Your role will also involve maintaining proper records of alerts, communications, and depository correspondences for audit and compliance purposes.

What we offer

At Paytm, you will be part of a dynamic team that values compliance and regulatory adherence. We offer a supportive environment where you can grow your skills and knowledge in the Capital Markets industry. You will have the opportunity to work closely with experienced professionals who will guide you in your career development. We encourage you to apply even if your experience doesn't match every requirement, as we believe in fostering talent and providing opportunities for growth.