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| Job Location | Navi Mumbai |
| Education | Not Mentioned |
| Salary | Not Disclosed |
| Industry | Banking / Financial Services |
| Functional Area | Sales / BD,Finance / Accounts / Tax |
| EmploymentType | Full-time |
AREA OF RESPONSIBILITY: Sanction Screening Necessary checks shall be conducted before opening a new account so as to ensure that the identity of the customer does not match with any person with known criminal background or with banned entities such as individual terrorists or terrorist organizations etc. For conducting such reviews, shall check the lists provided by SEBI/ Exchanges/ Depositories/ other regulators /internally maintained lists (including group list), it shall rely primarily on the United Nations list and other applicable international lists. The list of FAFT countries is also updated on an ongoing basis to ensure that clients covered under the high risk countries as per the FATF list are not allowed to open accounts through Sharekhan. Co-ordination with AoD team timely response to account opening team regarding queries raised during screening of Clients. Also, if required provide the declaration to be obtained from the Client. Regulatory action implementation on Client account. Liaising with the vendor (TSS) for any update or testing of screening system Alert Analysts/InvestigationShould handle Automated Alerts generated by Alert monitoring tools or queries and identify Automated Alerts requiring further analysis or investigation.Analyzing alerts received from Exchanges/ Depository and in-house alerts and take a Judgmental call based on the available information and escalate to Level 2 or close the alerts.Responsible for escalating sensitive transactions, sensitive new activities / products, incidents & investigations- Detects transactions / activities / products with potential impact on Sharekhan clients / activities / reputation- Escalates serious incidents and regulator investigations to next levelsPreparation of MIS- Monthly FS-Dashboard for submission to group.- Weekly MIS regarding screening results to group.Regulatory Compliance- Submission of Daily Margin Trading Facility details to Exchanges.- Monthly attestation on regulatory monetary penalty and reporting of regulatory incidents to OPC for reporting under Forecast- Submission of details to Exchanges under Weekly Enhance Supervision- Montlhy reconciliation of Bank and DP details with uploaded Bank / DP details with Exchanges under Enhanced supervision to ensure that correct details are reflected on Exchange platform- Submission of Networth Certificate, Annual returns, Artificial Intelligence (AI) and Machine learning (ML) confirmation, 1% holding etc to Exchanges- Collation of data/ List of requirments pertaining to Regulatory Inspections/ Internal Audits, etc- Follow-up with respective team owners for closure of Audit observations.,
Keyskills :
missalescustomer relationscustomer servicedeliveryopen accountsinternal auditannual returnsaccount openingmachine learningmonitoring toolsartificial intelligenceopcaodrisklistsvendorunited nations