Deputy Manager/Manager

:1. Account Opening Operations o Handle end-to-end processing of trading and demat account opening (individual, corporate, HUF, NRI, etc.). o Scrutinize and validate account opening forms and supporting documents for completeness and compliance. o Ensure timely and error-free processing of forms both physical and digital (e-KYC). o Co-ordinate with the Sales/Business Development team for form discrepancies and resubmissions. 2. Regulatory & Compliance Adherence o Ensure adherence to SEBI, NSE/BSE, CDSL/NSDL, and internal compliance policies during account onboarding. o Implement and monitor changes as per regulatory updates. o Ensure proper documentation is maintained for audit and inspection purposes. o Handle regulatory audits and provide necessary data and reports. 3. Process Improvement & Automation o Identify areas for streamlining the account opening process and reducing turnaround time. o Work with the IT/tech team to improve digital onboarding and automate manual tasks. o Monitor and upgrade internal SOPs periodically.
4. Client Support & Escalation Handling o Handle escalations and complex queries related to account opening. o Provide support to branches, partners, and clients on document requirements and application status. o Ensure resolution of discrepancies and pending cases within defined timelines.

5. MIS & Reporting o Prepare and analyse daily/monthly MIS on account openings, rejections, and pending cases. o Share reports with internal stakeholders and management for tracking performance. o Ensure data accuracy in internal systems and external uploads to CDSL/NSDL/exchanges.

 6. Team Management o Supervise and mentor junior team members in document verification, system entries, and compliance checks. o Conduct training sessions on regulatory updates and document processing standards. o Monitor productivity and performance metrics of the team. Key Skills Required: In-depth knowledge of trading/demat account opening processes and documentation Familiarity with SEBI, Exchange, CDSL/NSDL regulations related to account onboarding Understanding of e-KYC, CKYC, DigiLocker, IPV, and Aadhaar-based onboarding
Strong communication, coordination, and interpersonal skills Proficient in MS Office (especially Excel); knowledge of CRM or BO software preferred Attention to detail and process compliance mindset Qualifications : Graduate (Mandatory); Postgraduate or MBA in Finance/Operations (Preferred) Minimum 4 7 years of experience in account opening/KYC operations in a stockbroking firm NISM Series certifications (if required as per role)