AML Compliance executive - Rotational Shift

2 - 7 Years

Job Description

Designation: Executive
Role: Compliance and AML
Job location: Goregaon
Shift time: Rotational shift (6 days working)


1. To register all new clients in accordance to 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 compliance procedures.
6. To convert into a trading client only when fully compliant as per 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 team.
20. Perform related duties as required.

If interested kindly share your updated resume at


Desired Candidate Profile

Please refer to the Job description above


PG:Post Graduation Not Required

Doctorate:Doctorate Not Required

Company Profile

TopGear Consultants Pvt Ltd.

A leading client of TopGear Consultants Pvt Ltd
View Contact Details+

Recruiter Name:Aarti Koli

Contact Company:TopGear Consultants Pvt Ltd.


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Role Category



Operations Manager

Employment Type

Full Time, Permanent