DM- KYC- Broking

Responsibilities:

1. Oversee the KYC process and ensure compliance with regulatory requirements. Ensure all clients are onboarded within the onboarding timelines agreed
2. Manage and lead a team of 6-7 members
3. Develop, and implement KYC policies and procedures and conduct regular audits of KYC process & Documentation.
4. Verification of Account opening forms and supporting documents (Non-Individuals)
5. Uploading UCC/DP details to Exchange(s)/ Depository ((Non-Individuals).
6. Verify and Approve the closure requests and Account modifications
7. Opening of Broker's Demat Account and Trading Account (Proprietory Account)
8. Process knowledge and verification of Transfer cum closure in DPs
9. Uploading Client details in the CKYC portal & CVL KRA portal as per SEBI TAT.
10. Issuing and maintaining of DIS Slips/Modifications Register/DDPI Register
11. Client risk profiling and updating in the Back Office.
12. Generating the various reports for Exchange/SEBI inspections.
13. Be updated on the latest circulars and developments of NSE/BSE/MCX/SEBI
14. Coordinating with the Internal Audit Team to complete Concurrent Audit/Internal Audit & Inspections
15. Verifying all the Day-to-day activities/processes related to the Compliance Team (Initial Stage)
16. Maintaining various registers like STR, Staff Training, DIS Register, POA Register, Inward/outward register etc
17. To develop the ongoing KYC training plan and enhance staff knowledge of business and product

Requirements

1. The ideal candidate would have 3-5 years of support experience in the BFSI sector.
2. Good verbal & written communication skills Knowledge of financial products like MF, Insurance, and stocks
3. Experience in MF or KYC or stock broking operations
4. Fluency in English and Hindi (Fluency in more languages will be a plus)