* Handled Compliance department of a large/medium sized broking house.
* Review client documents for account approvals and enquiries
* Obtain mandatory documents and reports as per KYC requirements
* Perform necessary checks (3rd parties and regulatory website etc.)
* Investigating factual and regulatory rule background behind client trading and financial activity
* Creating, reviewing and following up on surveillance reports of financial and trading activity
* Assisting with Anti-Money Laundering Program
* Updating policies and procedures and verifying implementation.
* Interacting with various departments within the organization to meet deadlines.
* Graduate degree is required. Acceptable majors include: Accounting or Legal
* Good knowledge of KYC compliance.
* Good English communication oral and written skills.
* Good problem solving skills
* Previous experience in the financial industry is required.
* High proficiency with desktop applications and MS Office suite of products is required.
* Must be comfortable working in an automated, hands-on environment.
Salary: Not Disclosed by Recruiter
Industry:Banking / Financial Services / Broking
Functional Area:ITES, BPO, KPO, LPO, Customer Service, Operations
Role:Assistant Manager/Manager -(NonTechnical)
Desired Candidate Profile
RiverForest Connections Private Limited