KYC Head - Broking

Job Title: KYC Head - Broking

A.C. Agarwal Share Brokers is an Indian stock broking company with 20+ years of experience in the capital markets. The company holds memberships of most of India's top stock exchanges and depositories, including NSE, BSE, MCX, and CDSL. With a team of 250+ authorized partners, AC Agarwal is committed to building growth and wealth creation at a national level.

We are seeking a highly experienced KYC Head to lead and oversee all aspects of client onboarding, KYC compliance, and regulatory adherence (SEBI, RBI).

Responsibilities

• Oversee the KYC process and ensure compliance with regulatory requirements.
• Ensure all clients are on-boarded within the on-boarding timelines agreed.
• Manage and lead a team of 2-3 members.
• Develop, and implement KYC policies and procedures and conduct regular audits of KYC process and Documentation.
• Verification of Account opening forms and supporting documents (Non-Individuals).
• Uploading UCC/DP details to Exchange(s)/ Depository ((Non-Individuals).
• Verify and Approve the closure requests and Account modifications.
• Opening of Broker's Demat Account and Trading Account (Proprietary Account).
• Process knowledge and verification of Transfer cum closure in DPs.
• Uploading Client details in the CKYC portal and CVL KRA portal as per SEBI TAT.
• Issuing and maintaining DIS Slips/Modifications Register/DDPI Register.
• Client risk profiling and updating in the Back Office.
• Generating the various reports for Exchange/SEBI inspections.
• Be updated on the latest circulars and developments of NSE/BSE/MCX/SEBI.
• Coordinating with the Internal Audit Team to complete Concurrent Audit/Internal Audit and Inspections.
• Verifying all the Day-to-day activities/processes related to the Compliance Team (Initial Stage).
• Maintaining various registers like STR, Staff Training, DIS Register, POA Register, Inward/outward register, etc.
• To develop the ongoing KYC training plan and enhance staff knowledge of business and products.

Requirements

• The ideal candidate would have 3-5 years of relevant experience.
• Good verbal and written communication skills.
• Knowledge of financial products like Mutual Funds and stocks.
• KYC Experience in Mutual Fund or stock broking operations.

Job Type: Full-time

Pay: ₹360,000.00 - ₹600,000.00 per year

Benefits:

• Paid time off
• Provident Fund

Work Location: In person