KYC Manager

share updated CV at: [email protected]

Job Title: KYC Manager – Stock Broking / Stock Market

Company: Rikhav Securities Ltd.
Location: Mulund, Mumbai
Department: KYC / Operations / Compliance
Experience: 5–10 Years (Relevant stock broking experience preferred)

Job Description

We are looking for an experienced KYC Manager to manage and oversee the end-to-end Know Your Customer (KYC) process, client onboarding, documentation, and regulatory compliance activities in the stock broking industry.

Roles and Responsibilities

• Manage end-to-end KYC verification and client onboarding for equity, derivatives, and other stock market segments.
• Ensure compliance with SEBI, exchange, KRA, CKYC, and other applicable regulatory guidelines.
• Supervise verification of client documents, including PAN, Aadhaar, address proof, bank proof, and other KYC documents.
• Handle account opening, modification, re-KYC, periodic KYC updates, and client record maintenance.
• Manage KYC rejection cases, discrepancies, pending documentation, and rectification.
• Coordinate with NSE, BSE, CDSL, NSDL, KRA agencies, and other relevant entities for KYC-related matters, as applicable.
• Ensure proper verification of UCC registration, nominee details, FATCA/CRS declarations, and other applicable client information.
• Monitor KYC processes and ensure timely resolution of pending cases.
• Maintain accurate records and ensure readiness for internal, exchange, and regulatory audits.
• Handle regulatory inspections, audit observations, and compliance-related queries concerning KYC.
• Lead and supervise the KYC team, allocate work, and monitor team performance.
• Coordinate with Compliance, Operations, Dealers, Branches, and other departments for smooth client onboarding.
• Identify process gaps and implement improvements to enhance efficiency and accuracy.

Candidate Requirements

• Graduate in any discipline; relevant professional qualifications will be an advantage.
• 5–10 years of experience in KYC, client onboarding, or operations in a stock broking company.
• Strong knowledge of stock market KYC processes and applicable SEBI and exchange regulations.
• Experience handling KRA, CKYC, UCC, account opening, and client modification processes.
• Good team management, communication, coordination, and problem-solving skills.
• Proficiency in MS Excel and stock broking back-office software.

Preferred Candidate

Candidates currently working as KYC Manager, KYC Head, Senior KYC Executive, or Client Onboarding Manager in a stock broking or financial services company are preferred.

Interested candidates may share their updated CV at: [email protected]

Pay: From ₹35,000.00 per month

Work Location: In person