• Performing Due Diligence for onboarding members/clients. Establishing UBO for new or existing clients through various methods such as reviewing share holding pattern. • Reviewing alerts generated for Clients/member’s background verification using screening tools (e.g., World-Check, Track Wizz). • Risk profiling & assessment of the clients as per the KYC and other information provided. Reviewing the investigation report in case of false or misleading information provided. • Formulation of SOPs and policies related to Membership Department. • Responsible for all AML and KYC-related communication with external stakeholders and the regulator.

• Critically review the client’s documents, including the balance sheet, profit and loss statement, cash flow, client ledgers, etc., for discrepancies. • Conducting periodic audits to ensure proper compliance with the system. Stay up to date on all new SEBI/Exchange compliances and ensure that all related departments are in compliance. • Risk profiling & assessment of the clients as per the KYC and other information provided. • Formulation of various compliance related policies such as RMS, KYC, AML, etc., and providing guidance to stakeholders on the interpretation of those policies and various other regulations.

• Analyzing massive amounts of data during fraud investigations and preparing reports on client transactions and positions to detect various market manipulation activities such as insider trading, price ramping, front running, circular trading, cross-and-wash trading, and so on.  • Reviewing alerts processed by trade surveillance applications and escalating suspicious trading activity to the Line of Business (Compliance) and subsequently presenting monthly escalations. • Efficiently handled the responsibility of audit/inspection of member brokers, ensuring compliance as per exchange & SEBI norms.

• Proposing asset allocation, portfolio maintenance, and portfolio review services to HNI clients. Establishing and maintaining connections with current, emerging affluent clients.