Executive Compliance - India Office

JurisTax Group; Pune District; On-site; INR 800,000 - 1,200,000; Full time

Job summary

A leading compliance consulting firm is seeking an Executive – Compliance (AML/CFT) in Pune, India. The role involves conducting AML/CFT audits, assessing compliance frameworks, and preparing audit reports. Candidates should possess a degree in Law, Finance, or Management, along with AML/CFT experience, with additional certifications being a plus. This position offers an opportunity to engage with clients and provide expert guidance in meeting regulatory requirements.

Qualifications

• Degree in Law, Finance, or Management is required.
• Experience in financial services, especially in MENA, is a plus.
• Any professional certifications like ICA or ACAMS are beneficial.

Responsibilities

• Conduct AML/CFT audits of financial service providers.
• Draft audit reports and provide compliance recommendations.
• Monitor regulatory changes and assist clients with compliance.

Skills

Legal knowledge

AML/CFT compliance

Risk assessment

Audit methodology

Data analysis

Education

Degree in Law / Finance / Management

Professional certification (e.g. ICA / ACAMS / ACFE)

Tools

goAML software

Job description

JurisTax Group is seeking an Executive – Compliance (AML/CFT) to join its team. The selected candidate will be relocated to our Pune office in India.

QUALIFICATIONS AND KEY COMPETENCIES

• Degree in Law / Finance / Management or other related qualifications.
• Any professional certification e.g. ICA / ACAMS/ ACFE would be a plus.
• Experience in the financial services industry in MENA (DFSA / ADGM / DIFC) would be a plus.

MAIN RESPONSIBILITIES

• Perform independent AML/CFT audits of reporting players such as corporate service providers, investment funds, DNFBPs and other regulated entities, in accordance with the applicable AML/CFT laws and regulations prevailing in the UAE and in line with the relevant FATF Recommendations.
• Apply a risk-based audit methodology to assess the design and operational effectiveness of clients’ AML/CFT compliance frameworks.
• Carry out walkthroughs, sample testing, interviews and control verification procedures across onboarding, due diligence, transaction monitoring, and reporting functions.
• Identify regulatory breaches, control weaknesses, and procedural lapses based on comprehensive gap assessments against current legislative and regulatory requirements.
• Assess clients’ compliance with mandatory filings (e.g. STRs, goAML registration, risk assessments, BO declarations, annual compliance returns).
• Draft, prepare and finalise audit reports or such other customised compliance reports.
• Engage in exit meetings to discuss audit outcomes and agree on remediation plans with clients.
• Conduct thematic AML/CFT reviews (e.g. screening practices, UBO assessments, sanctions implementation, transaction monitoring systems).
• Review and evaluate Business Risk Assessments (BRA) and Customer Risk Assessments (CRA) to ensure proper application of the Risk-Based Approach.
• Testing calibration and documentation of client risk scoring methodologies.
• Review and benchmark client AML/CFT policies, procedures, and internal controls to ensure alignment with evolving legal requirements and industry best practices.
• Evaluate the functioning of Compliance, MLRO and Reporting structures, independence, escalation paths, and training efforts.
• Validate internal audit, compliance monitoring and oversight mechanisms.
• Assist clients in preparing for regulatory inspections through mock audits, documentation checklists, and walkthrough simulations.
• Advise on crafting effective responses to regulatory notices, warning letters, and inspection findings.
• Provide expert guidance on goAML onboarding, compliance file structuring, and evidence preparation for future regulatory scrutiny.
• Review governance registers (e.g. compliance incident logs / register of breaches, STR registers, training registers, PEP Registers);
• Sound knowledge of TFS screening requirements, reporting obligations and preparation of all relevant regulatory filings.
• Recommend controls to strengthen audit trails, board reporting and regulatory audit preparedness.
• Support clients in developing and maintaining an Annual AML/CFT Compliance Monitoring Plan and track follow-up actions from prior audit cycles.
• Contribute to the design and delivery of targeted AML/CFT training modules for compliance staff, MLROs, directors, and onboarding teams.
• Conduct ongoing research on emerging AML/CFT risks.
• Assist in the preparation and coordination of training calendars.
• Monitor changes in FATF evaluations, international blacklists, Regulatory circulars, decrees and enforcement trends to proactively alert clients.
• Attending UAE AML/CFT trainings or any online workshops.
• Preparing mini trainings for staffs ahead of change in the UAE AML/CFT landscape.
• Reporting during dashboards and Board meetings as applicable (including preparation of memos); and
• Conduct any other cognate duties as assigned by the Reporting line.

Kindly express your interest by sending your CV on: [e-mail]

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