KYC Head - Broking

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