Mohit Batra

Key responsibility are

Perform Ongoing Due Diligence: Conduct continuous due diligence for both individual and entity accounts to ensure compliance with regulatory requirements and to identify any potential risks.

Perform screening and sanction checks: Perform sanction checks and PEP/Name/Adverse media screening.

· KYC-AML Compliance: Perform thorough Know Your Customer (KYC) and Anti-Money Laundering (AML) checks for existing customers, ensuring comprehensive verification and adherence to compliance protocols.

Transactional Monitoring: Evaluate and monitor transactional activities to detect and assess any potentially unusual behavior, ensuring timely identification and reporting of anomalies.

- Prepare detailed Grounds of Suspicion (GoS) documentation for the filing of Suspicious Activity Reports (SARs) or Unusual Activity Reports (UARs), or for the appropriate discounting of SAR alerts at Level 1.

• Scrutinize Kyc documents given by retail investor to brokers at the time of client onboarding.
• Register and resolve all complaints related stock market trading (commodities market) within TAT via arbitrations/appeal and IGRP meetings
• Perform regular audits (internal/external) for regulatory purpose and prepare final report and observation (If any), which is to be submitted to SEBI for further action on brokers.

• Scrutinize Kyc documents given by retail investor to brokers at the time of client onboarding.
• Register and resolve all complaints related stock market trading (equity and derivative market) within TAT via arbitrations/appeal and IGRP meetings
• Perform regular audits (internal/external) for regulatory purpose and prepare final report and observation (If any), which is to be submitted to SEBI for further action on brokers.

• Handle branch operations work for mapped customers
• Client onboarding- Individual and Entities. Check kyc documents like ID documents, Fatca-crs form, ckyc, entity documents like incorporation certificate, trust deeds or partnership deed etc
• Handle mutual fund investment or redemption process before cut off time.
• Check Kyc documents and other requisite documents for conducting outward/inward remittance, forex trade etc.
• Prepare MIS for mapped RM like client portfolio as on date, MF performance sheet, prepare monthly, quarterly & annual sales details for mapped RMs via Salesforce.

• Verifying KYC documentation of newly onboarded customers
• (Individual/Non-Individual accounts)
• Conduct customer due diligence (CDD) like collecting and verifying UBO, trust deeds, SOW, SOF, Nature & purpose of banking, site verification reports, FATCA-CRS reporting
• Support FCU team in various activities to tackle fraud detect activities or handle cases marked with red flags.
• Publish MIS for the team.