Executive

Sicomoro Advisors; Mumbai; On-site; INR 600,000 - 900,000; Full time

Job summary

Sicomoro Advisors in Mumbai seeks a PMS Client Onboarding Executive to manage end-to-end onboarding for PMS clients, ensuring accurate KYC verification, regulatory compliance, and smooth account setup. You will coordinate with custodians and banks, maintain client data, and support audits with rigorous documentation practices.

Ideal candidates hold a finance-related degree and have extensive KYC/onboarding experience, with strong Excel and CRM proficiency, and excellent stakeholder communication

Qualifications

• Bachelor's degree in Finance, Commerce, or related field.
• 14 years of experience in KYC/onboarding/financial operations (PMS/AMC/wealth management preferred).
• Strong knowledge of KYC, AML, FATCA/CRS norms, and SEBI regulations.
• High attention to detail and strong documentation skills.
• Good communication and stakeholder coordination abilities.
• Proficiency in MS Excel and onboarding/CRM systems.

Responsibilities

• Manage complete onboarding of PMS clients, including collection, verification, and processing of KYC documents.
• Ensure compliance with SEBI PMS regulations and internal policies during onboarding.
• Coordinate account opening with custodians, banks, and depositories.
• Set up client profiles in portfolio management systems with accurate details.
• Liaise with custodians, brokers, RTA, and internal compliance teams to ensure timely onboarding.
• Act as a point of contact for clients and relationship managers for onboarding-related queries.
• Follow up on pending documentation and resolve onboarding issues promptly.
• Ensure onboarding processes are aligned with regulatory and audit standards.
• Track onboarding timelines and ensure SLAs are met.
• Identify bottlenecks and suggest improvements to streamline onboarding processes.
• Assist in implementing automation and digital onboarding initiatives.

Skills

MS Excel

CRM systems

Communication skills

Stakeholder coordination

Education

Bachelor's degree in Finance or Commerce

Tools

Onboarding software

Portfolio onboarding tools

Job description

Role & responsibilities

The PMS Client Onboarding Executive is responsible for managing the end-to-end onboarding lifecycle of clients investing in Portfolio Management Services. The role ensures seamless account setup, strict adherence to regulatory norms, and accurate maintenance of client records while delivering a smooth onboarding experience.

Key Responsibilities Client Onboarding & Account Setup

• Manage complete onboarding of PMS clients, including collection, verification, and processing of KYC documents.


• Ensure compliance with Securities and Exchange Board of India regulations and internal policies during onboarding.


• Coordinate account opening with custodians, banks, and depositories.


• Set up client profiles in portfolio management systems with accurate details.

KYC & Documentation Compliance

• Perform thorough KYC checks including PAN validation, address verification, FATCA/CRS declarations, and risk profiling.


• Ensure all documentation meets regulatory and audit standards.


• Maintain proper records for audit trails and regulatory inspections.

Client Data Management

• Maintain and update client master data, including personal details, bank mandates, and nominee information.


• Process modifications such as changes in address, bank details, or contact information.


• Ensure data integrity and confidentiality at all times.

Coordination & Stakeholder Management

• Liaise with custodians, brokers, RTA, and internal compliance teams to ensure timely onboarding.


• Act as a point of contact for clients and relationship managers for onboardingrelated queries.


• Follow up on pending documentation and resolve onboarding issues promptly.

Regulatory & Audit Support

• Ensure onboarding processes are aligned with SEBI PMS guidelines and AML requirements.


• Support internal and external audits by providing necessary documentation and reports.

Process Efficiency & Controls

• Track onboarding timelines and ensure SLAs are met.


• Identify bottlenecks and suggest improvements to streamline onboarding processes.


• Assist in implementing automation and digital onboarding initiatives.

Preferred candidate profile

Bachelors degree in Finance, Commerce, or related field.

• 14 years of experience in KYC / onboarding / financial operations (PMS, AMC, or wealth management preferred).


• Strong knowledge of KYC, AML, FATCA/CRS norms, and SEBI regulations.


• High attention to detail and strong documentation skills.


• Good communication and stakeholder coordination abilities.


• Proficiency in MS Excel and onboarding/CRM systems