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Compliance Officer

2.00 to 4.00 Years   Mumbai City   30 Jun, 2023
Topgear Consultants Private Limited
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryMFI ( Micro Finance )
Functional AreaFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

    Urgent Opening with leading MNC!TopGear Consultants Pvt Ltd. is an executive search Company with primary focus on search and recruitment of Top professionals at senior management level across industries. There is currently an urgent opening with one of our most reputed clients. Please find the details belowJOB TITLE: Compliance officerLocation- Goregaon, Mumbai.DEPARTMENT: ComplianceJOB PURPOSE : To register clients in compliance with CDs AML policies & procedures. To maintain clients records in accordance to CDs data protection policy. To assist in a wide variety of compliance/administration duties to ensure CD complies with AML regulations at all time.RESPONSIBILITIES :
    1. To register all new clients in accordance to CDs compliance procedures.
    2. To fully understand the process of registration and re-registration for private clients.
    3. To fully understand the registration and re-registration process for corporate clients/ Ltds. Plcs, Sole traders, LLP, unregistered partnerships or charities
    4. To fully understand the registration process for affiliate clients
    5. To answer any registration queries within CDs compliance procedures.
    6. To convert into a trading client only when fully compliant as per CDs AML policies.
    7. To carry out client record checks to ensure that none of our clients are on the Bank of England Sanctions List, Other Sanctions List or Negative data through FINSCAN/Worldcheck. Reporting Red high risk clients to the head of compliance.
    8. To maintain accurate records with regards to DP opt out instructions from client
    9. To answer telephone enquiries in an efficient, courteous & timely manner.
    10. To provide clear and simple information to internal clients, either corporate, individuals or affiliates.
    11. To review and authorise third party payments in and payments out
    12. To authorise third party mandates on private clients
    13. To register, assign and make all required changes to all registrations either individual, corporate or affiliate.
    14. To be able to provide clear guidance to all staff and internal clients on matters related to: registrations of private, corporate and affiliate, documents, payments and mandate.
    15. To carry out client account investigation and/or audits as assigned by the head of Compliance.
    16. To maintain and be fully aware of his/her legal obligations under the anti money laundering regulations & data Protection.
    17. To monitor clients from their registration and to report any suspicious or questionable registrations to the head of compliance.
    18. To ensure that contracts conform to AML obligations (Third Party Payments).
    19. To work as a part of CD team.
    20. Perform related duties as required.
    PERFORMANCE MEASUREMENTS :
    1. All clients registered must comply with AML procedures
    2. All authorised third party payments are in compliance with AML procedures
    3. AML verification has been carried out for all client transactions.
    4. Enquiries are answered clearly and accurately
    Experience Required : Previous Compliance and AML experienceSkills/ Abilities: Accuracy and attention to detailGood verbal and written communication skillsAble to understand, listen and tactfully resolve any possible client queriesAble to use all related hardware and softwareTime management skills Able to keep calm when working under pressureFlexible with working hours and adapt to changes as per business requirement.If interested, kindly send your updated resume along with your current CTC, expected CTC and Notice Period detailsThanks and Regards,Niyati Chauhan.hidden_email

Keyskills :
amlcompliance

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