Sr Manager - AML & Compliance at Talent Pro · Gurugram · 8 - 15 years · ₹25L - ₹35L / yr · Bootstrapped · Posted 28 Mar 2025
Function Expertise
Maintain oversight of developments in the BFSI, Fintech regulatory environment.
Anti Money Laundering (AML):
Develop internal procedures to prevent money laundering.
Build new scenarios/rules, create BRDs, and evaluate exception reports and alert closures.
Evaluate the performance of AML monitoring tools and negative list screening.
Review policies and procedures in the AML program (KYC/CDD/EDD).
Ensure information consistency with AML policies and regulatory requirements.
Support an annual review of the AML monitoring system and process.
Drive compliance program and monitor systems.
Compliance reviews:
Ensure policies and procedures are followed and monitor improvements.
Monitor regulatory changes:
Interpretation and dissemination of information to departments for implementation.
Focus on self-learning and development on relevant guidelines.
Maintain and periodically review necessary policies under various regulations.
Problem Solving
Proactively manage potential regulatory risks.
Identify inconsistencies in data and transactions:
Formulate strategic recommendations on policies, procedures, and practices.
Develop solutions to address specific challenges faced by business units in regulatory compliance matters, including impact assessments.
Guide transaction monitoring teams:
Address critical areas such as suspicious transactions and name match as per screening output.
Conduct process audits/reviews:
Escalate high-risk issues to management.
Identify and inform changes in legislation and regulatory requirements relating to AML.
Monitor and report critical gaps during reviews:
Recommend corrective actions.
Interaction
Guide and support internal teams:
Conduct face-to-face training for internal teams and business units.
Liaison/follow-up with inter-departments:
Ensure timely completion/updating of compliance tasks.
Report suspicious transactions:
Report to regulators (e.g., FIU) and other stakeholders (e.g., Partner Banks).
Assist the Head of Compliance:
Provide updates to senior management on critical compliance issues for immediate attention and escalation.
To succeed in the role..
Qualifications:-
Any CS / LLB / MBA with at least 6 years of experience in BFSI /Fintech compliance space focusing on AML and KYC related compliance.
Experience in BFSI & Fintech (Prefer compliance persons from NBFC/bank who has experience in handling lending processes, AML compliance, product compliances etc . Should have dealt with Regulatory audits (RBI audits / Inspections) & communicated with regulators actively on compliance related matters).
Shubham Vishwakarma
Full Stack Developer - Averlon
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Location: GIFT City, Gandhinagar, Gujarat Experience: Minimum 5 Years Job Summary We are looking for a qualified and experienced Principal Officer to oversee regulatory compliance, fund management activities and operational requirements in GIFT City. The ideal candidate should have relevant experience in securities markets, financial products, fund management or financial services, along with an understanding of IFSCA regulations. Roles & Responsibilities 1 Oversee and monitor compliance with applicable IFSCA regulations, guidelines and regulatory requirements. 2 Ensure that fund management activities and operations are conducted in accordance with applicable regulatory frameworks. 3 Monitor investor onboarding, KYC (Know Your Customer), AML (Anti-Money Laundering) and due diligence processes. 4 Oversee preparation and submission of regulatory reports, returns and filings within prescribed timelines. 5 Coordinate with IFSCA, auditors, fund administrators, legal advisors and other relevant stakeholders on regulatory matters. 6 Monitor changes in regulatory requirements and ensure timely implementation within the organization. 7 Identify compliance risks, gaps and potential regulatory issues, and recommend appropriate corrective actions. 8 Maintain regulatory records, compliance documentation, policies and procedures. 9 Support internal and external audits, regulatory inspections and information requests from regulatory authorities. 10 Ensure appropriate investor protection, transparency and governance practices. 11 Coordinate with internal teams to ensure smooth execution of fund management and compliance-related activities. 12 Report significant compliance matters to senior management and monitor their resolution. Qualification Requirements A professional qualification, postgraduate degree, or postgraduate diploma of at least one year in Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Markets, Banking, Insurance or Actuarial Science. • Recognised professional qualifications include CA, CS, CMA and equivalent foreign qualifications. • Alternatively, CFA, FRM or any other relevant qualification specified by IFSCA may be accepted. • A candidate with at least 15 years of relevant Fund Management experience may qualify with a Bachelor's Degree in any discipline. Experience Requirements • At least 5 years of relevant experience in securities markets or financial products at an eligible institution. • Minimum 3 years of post-qualification experience in an eligible institution, along with valid IFSCA-specified certification, for Principal Officer and Fund Management Key Managerial Personnel (KMPs). Page 1 Eligible Institutions for Relevant Experience • Market infrastructure institutions, capital market intermediaries, financial sector regulators, Fund Management Entities (FMEs), banks, finance companies, insurance companies and insurance intermediaries in an IFSC, in India or in foreign jurisdictions. • Consulting/advisory firms, CA firms, CS firms and CMA firms providing services relating to financial products to the institutions listed above. • Finance, accounts, secretarial or legal departments of private or public companies
Principal Officer (PO) – GIFT City
Location: GIFT City, Gandhinagar, Gujarat
Experience:- Minimum 5 Years
CTC:- ₹15-20
Job Description
We are looking for an experienced Principal Officer (PO) with a strong background in Financial Services, Fund Management, Investment Management or Capital Markets.
The candidate will be responsible for overseeing financial operations, ensuring regulatory compliance, and managing activities in accordance with applicable IFSCA regulations and guidelines.
Key Responsibilities
- Oversee fund management and financial services activities.
- Ensure compliance with applicable IFSCA regulations and guidelines.
- Monitor investment operations and financial activities.
- Handle regulatory reporting and documentation.
- Coordinate with internal teams and regulatory authorities.
- Support risk management and corporate governance activities.
Required Qualifications & Experience
- CA / CS / CMA / CFA / FRM / MBA Finance or relevant postgraduate qualification in Finance, Banking, Commerce, Economics, Law or Business Management.
- Minimum 5 years of relevant experience in Securities Markets or Financial Products.
- Experience in Fund Management, Investment Banking, Portfolio Management or Capital Markets.
- Knowledge of financial regulations and regulatory compliance.
- Relevant IFSCA-specified certification, wherever applicable.
Additional Eligibility: Candidates with at least 15 years of relevant Fund Management experience may also qualify with a Bachelor's Degree in any discipline, subject to applicable IFSCA regulations.
Interested candidates meeting the eligibility criteria are encouraged to apply.
Applications on this job are not being reviewed actively. You may apply but please follow up with the company via other channels too.
Job Description – Senior KYC Operations Executive
Role Overview
We are looking for a Senior KYC Operations Executive to manage Individual and
Non-Individual KYC cases and ensure timely completion of KYC requirements. The role will
involve handling new, pending and partial KYC cases, resolving customer issues and
coordinating with internal teams for case closure.
Key Responsibilities
● Manage and process Individual and Non-Individual KYC cases.
● Handle partial KYC cases and follow up on pending requirements to convert them
into completed KYC.
● Verify KYC documents and identify missing, incorrect or incomplete information.
● Handle HUF, Corporate, LLP, Partnership and other Non-Individual KYC cases.
● Monitor KRA/NSE status, KYC approvals, rejections and modifications.
● Follow up with customers through calls, email and chat for pending KYC
requirements.
● Resolve customer KYC-related issues and queries within the required TAT.
● Coordinate with internal teams such as Compliance and Customer Support for issue
resolution.
● Update customer and KYC status accurately in the relevant systems.
● Track pending cases and ensure timely closure.
● Handle escalations and complex KYC cases.
● Conduct basic quality checks to ensure KYC documents and processes are accurate.
● Prepare and maintain daily/weekly KYC reports.
● Support the team in improving KYC processes and reducing pending and incomplete cases.
Skills Required
● Good understanding of Individual and Non-Individual KYC.
● Experience handling partial and pending KYC cases.
● Document verification and attention to detail.
● Strong customer handling and problem-solving skills.
● Communication and follow-up skills.
● Ability to manage multiple cases and meet TAT/SLA.
Experience
3–5 years of experience in KYC Operations.
Follow CutshortShubham Vishwakarma
Full Stack Developer - Averlon