Compliance Analyst/Associate

About Company

The company operates in the digital wealth management and financial technology sector, providing technology-driven investment and portfolio management solutions.

Job Description

We are looking for a detail-oriented and proactive Compliance Analyst/Associate to join our Compliance team. In this role, you will play a key part in safeguarding the firm's regulatory standing by supporting anti-money laundering (AML) operations, client due diligence, and broader compliance initiatives. You will work closely with Relationship Managers, senior leadership, and external stakeholders to ensure the firm meets its obligations under applicable laws and regulations.

 Key Responsibilities

• Anti-Money Laundering & KYC Facilitate Know Your Customer (KYC) reviews as part of the client onboarding process, ensuring all documentation and risk assessments meet internal and regulatory standards.
• Lead and coordinate periodic client reviews and ad hoc reviews triggered by material changes or risk events.
• Investigate suspicious activities escalated to Compliance promptly and thoroughly, and prepare Suspicious Transaction Reports (STRs) where required.
• Conduct ongoing AML transaction monitoring within established timelines, identifying and escalating unusual patterns or red flags. Perform daily client screening and sanctions monitoring, escalating matches to the Relationship Manager and Head of Compliance as necessary.
• Track and follow up on outstanding client documentation, escalating accounts with overdue or deficient records to the Head of Compliance within stipulated timeframes.
• Participate in remediation and data clean-up exercises to address compliance gaps across the client portfolio.

Regulatory Compliance

• Stay current with evolving compliance policies, regulatory developments, and industry best practices relevant to the firm's operations.
• Support ad hoc compliance reviews, thematic testing, and regulatory-driven projects as directed by the Head of Compliance.
• Design and deliver compliance training programs for the firm, including annual refresher sessions on key compliance and AML topics, as well as induction training for new joiners.

Requirements

Any Graduate or Post-Graduate with Minimum 2 years of hands-on experience at AML/KYC within a fund management company, broker-dealer, asset management firm, private bank, or in a compliance-focused audit role

Mandatory Requirement

Primary Job Profile : Regulatory Compliance

Technical Skills : KYC/AML, Client Acquisition

Candidate Location Requirement: Mumbai

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