KYC Head - Broking

A.C. Agarwal

3 - 5 years

3 - 6 Lacs

vadodara

Posted:1 week ago| Platform:

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Skills Required

kyc process account opening account modification mutual fund kyc broking stock broking operations trading account

Work Mode

Work from Office

Job Type

Full Time

Job Description

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

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