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AGM/DGM - Surveillance



Mumbai, Maharashtra, India
Posted on Wednesday, May 8, 2024
Paytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allow users to start your investment journey with zero paperwork, seamless digital KYC, automated payments, updated portfolio and powerful insights to make well informed investment decisions. Paytm Money is also registered with PFRDA as Point Of Presence, offering investment in Nation Pension System (NPS). It is a fully owned subsidiary of One 97 Communications Limited, a listed entity in NSE and BSE. Paytm is India’s largest digital payment app which makes it secure and seamless to pay using UPI, make bill payments, recharge mobiles, DTH, data card & Metro Card etc anywhere in India.
Functional Responsibilities
* Develop and maintain KYC/AML compliance policies and establish compliance review procedures as directed by SEBI & FIU India. Well versed with circulars, regulations issued with regard to AML.
* Will be responsible for Managing the KYC/AML team and providing guidance to the team for better output
* Will be responsible for maintenance of AML program documentation, set up parameters for screening of financial transactions to prevent money laundering and assist in all matters concerning AML including policies, procedures, and reporting recordkeeping.
* Assessing, analyzing, documenting and subsequent closing of various screening alerts or file suspicious transaction report with FIU and/or other regulatory bodies. Good understanding on adverse/negative media, Politically Exposed Persons or other similar designations.
* Conduct, and perform quality control relative to, a variety of investigation types, including suspicious activity and enhanced due diligence.
* Handling Exchange surveillance reporting of broking and depository functions and responding to queries with regard to investigation/surveillance raised by the Exchanges/DP.
* Manage the automation & upgradation of AML Software - Transaction Monitoring & Reporting Module.
* Assist with anti-money laundering compliance training for employees across the organization
* Develop and manage periodic KYC updation program(Re-KYC) along with Customer Risk Categorisation module.Supporting Compliance Officer on all matters pertaining to KYC/AML Compliance
Additional Responsibilities
* Dissemination of various circulars/reports/orders and appraise the Senior Management of their impact on the current business scenario.
* Assist in monitoring of insider trading alerts and maintenance of relevant documentation.
Expertise and preferred qualifications
Preferred Skills
* Experience in Know your customer, Customer due diligence & Customer identification program, AML
* Preferable if worked with a SEBI registered stock broking firm or Bank or Exchange /DP or from a CA firm having in-depth knowledge of broking / DP operations and handled AML activities *Experience in financial services transaction data analysis
* Excellent knowledge of MS Office tools
* Ability to handle multiple tasks simultaneously and work under tight deadlines.
* Good interpersonal skills and excellent written/oral communication skills.Good team player - one who is able to prioritize in a fast moving, constantly changing environment
Preferred Qualification:
Should be a CS/MBA Finance/PGDBM/Master Degree Holder in Finance with minimum of 12 years of experience.