KYC Manager / Head

A C Agarwal Share Brokers; Vadodara; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

A C Agarwal Share Brokers is seeking an experienced KYC Manager/Head to lead client onboarding, KYC compliance, and regulatory adherence (SEBI, RBI). The role requires managing a small team and developing robust KYC policies.

The ideal candidate will have 3-5 years of relevant KYC experience, strong communication skills, and knowledge of mutual funds and stocks. This position entails ensuring timely onboarding and ongoing compliance for a brokerage operation.

Qualifications

• 3-5 years of relevant experience in KYC/Compliance roles.
• Excellent verbal and written communication skills.
• Knowledge of financial products like Mutual Funds and stocks.
• KYC experience in mutual fund or stock broking operations.

Responsibilities

• Oversee the KYC process and ensure regulatory compliance.
• Ensure all clients are onboarded within the onboarding timelines agreed.
• Lead a team of 2-3 members.
• Develop and implement KYC policies and procedures and conduct regular audits of KYC processes and documentation.
• Verify account opening forms and supporting documents (Non-Individuals).
• Upload UCC/DP details to Exchanges/Depositories (Non-Individuals).
• Verify and approve closure requests and account modifications.
• Open Broker's Demat and Trading accounts (Proprietary).
• Process knowledge and verification of Transfer cum closure in DPs.
• Upload client details in CKYC portal and CVL KRA portal per SEBI TAT.
• Issue and maintain DIS slips/modifications register/DDPI register.
• Maintain client risk profiling and update in Back Office.
• Generate reports for Exchange/SEBI inspections.
• Stay updated on NSE/BSE/MCX/SEBI circulars and developments.
• Coordinate with Internal Audit to complete audits and inspections.
• Verify day-to-day activities related to the Compliance Team (Initial Stage).
• Maintain registers like STR, Staff Training, DIS Register, POA Register, inbound/outbound registers.

Skills

KYC

Regulatory compliance

Team leadership

Communication

Job description

We are seeking a highly experienced KYC Manager / Head to lead and oversee all aspects of client onboarding, KYC compliance, and regulatory adherence (SEBI, RBI).

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.