Verified Job
Accounting - Finance
Account Opening -Stock Broking Ops KYC/ AML ( )
Accounting - Finance
#636026
Remote / WFH
Job Description
Account Opening Operations (Non-Individual, NRI & Foreign Clients)
Operations – Account Opening & Client Onboarding
Reporting to: Asst. Vice President Location: Western Mumbai
Candidates only from Stock Broking & from Mumbai
To manage and oversee end-to-end operations of client onboarding for Non-Individual, NRI, and foreign clients in the broking segment, ensuring seamless account opening, regulatory compliance, accurate documentation, timely activation, and exceptional service levels.
KINDLY SHARE UPDATED RESUME - CONTACT PERSON : DIVYA - qcprofile@gmail.com
Wassup -
Key Responsibilities:
1. Client Onboarding & Account Opening:
• Manage end-to-end account opening process for:
• Non-Individual clients (Corporate, Partnership, LLP, HUF, Trusts, AIFs)
• NRI clients (NRE/NRO accounts under PIS/Non-PIS)
• Foreign clients (FPIs, OCIs, Foreign Corporates, etc.)
• Ensure timely and error-free processing of account opening forms in line with SEBI, RBI, and exchange guidelines.
• Scrutinize documentation for completeness and accuracy including PAN, FATCA, CRS, UBO, board resolutions, power of attorneys, etc.
• Coordinate with clients, sales, compliance, custodians, and legal for account-related clarifications and approvals.
• Regulatory & KYC Compliance:
• Ensure KYC and CKYC compliance as per SEBI/Exchange/Depository norms.
• Handle periodic KYC reviews and remediation of client data.
• Ensure compliance with AML norms, PMLA obligations, and onboarding restrictions for high-risk jurisdictions.
• Work closely with the compliance team to implement regulatory changes in onboarding processes.
• System & Process Oversight:
• Manage workflow on internal platforms (CRM, onboarding tool, RTA/KRA upload systems).
• Ensure digital onboarding processes are followed wherever applicable.
• Participate in system enhancements and automation initiatives related to onboarding.
• Ensure timely reporting to KRA, CKYC, depositories (NSDL/CDSL), and SEBI as applicable.
• Stakeholder & Client Management:
• Act as the operations SPOC for Sales, RM teams, Compliance, and Clients for all onboarding-related queries.
• Ensure high service standards and timely resolution of onboarding issues.
• Conduct training sessions for RMs and sales teams on documentation and KYC requirements.
• Audit & Risk Management:
• Prepare for and respond to internal, statutory, and regulatory audits.
• Ensure proper record keeping and audit trail of all account opening forms and communication.
• Identify and mitigate risks in onboarding processes; suggest and implement process improvements.
• Required Qualifications:
• Graduate (Mandatory), preferably with specialization in Finance/Commerce.
• MBA/PGDM or Certification in Capital Markets / Compliance (Preferred).
Experience:
• 5 years of relevant experience in the broking/wealth/capital markets industry.
• Strong exposure to account opening for NRI, Corporate, and FPI clients.
• Hands-on knowledge of SEBI, Exchanges, and depositories' KYC norms.
Key Skills & Competencies:
• Strong understanding of KYC, AML, FATCA, CRS, UBO, FEMA guidelines.
• Attention to detail with ability to scrutinize complex documentation.
• Proficient in using back-office systems, CKYC/KRA upload portals.
• Excellent communication & interpersonal skills.
• Ability to work under pressure with multiple stakeholders.
• Strong process orientation and client-centric approach.
Desirable Certifications:
• NISM Series VII: Securities Operations and Risk Management
• Certified AML/KYC professional (optional but preferred)
Operations – Account Opening & Client Onboarding
Reporting to: Asst. Vice President Location: Western Mumbai
Candidates only from Stock Broking & from Mumbai
To manage and oversee end-to-end operations of client onboarding for Non-Individual, NRI, and foreign clients in the broking segment, ensuring seamless account opening, regulatory compliance, accurate documentation, timely activation, and exceptional service levels.
KINDLY SHARE UPDATED RESUME - CONTACT PERSON : DIVYA - qcprofile@gmail.com
Wassup -
Key Responsibilities:
1. Client Onboarding & Account Opening:
• Manage end-to-end account opening process for:
• Non-Individual clients (Corporate, Partnership, LLP, HUF, Trusts, AIFs)
• NRI clients (NRE/NRO accounts under PIS/Non-PIS)
• Foreign clients (FPIs, OCIs, Foreign Corporates, etc.)
• Ensure timely and error-free processing of account opening forms in line with SEBI, RBI, and exchange guidelines.
• Scrutinize documentation for completeness and accuracy including PAN, FATCA, CRS, UBO, board resolutions, power of attorneys, etc.
• Coordinate with clients, sales, compliance, custodians, and legal for account-related clarifications and approvals.
• Regulatory & KYC Compliance:
• Ensure KYC and CKYC compliance as per SEBI/Exchange/Depository norms.
• Handle periodic KYC reviews and remediation of client data.
• Ensure compliance with AML norms, PMLA obligations, and onboarding restrictions for high-risk jurisdictions.
• Work closely with the compliance team to implement regulatory changes in onboarding processes.
• System & Process Oversight:
• Manage workflow on internal platforms (CRM, onboarding tool, RTA/KRA upload systems).
• Ensure digital onboarding processes are followed wherever applicable.
• Participate in system enhancements and automation initiatives related to onboarding.
• Ensure timely reporting to KRA, CKYC, depositories (NSDL/CDSL), and SEBI as applicable.
• Stakeholder & Client Management:
• Act as the operations SPOC for Sales, RM teams, Compliance, and Clients for all onboarding-related queries.
• Ensure high service standards and timely resolution of onboarding issues.
• Conduct training sessions for RMs and sales teams on documentation and KYC requirements.
• Audit & Risk Management:
• Prepare for and respond to internal, statutory, and regulatory audits.
• Ensure proper record keeping and audit trail of all account opening forms and communication.
• Identify and mitigate risks in onboarding processes; suggest and implement process improvements.
• Required Qualifications:
• Graduate (Mandatory), preferably with specialization in Finance/Commerce.
• MBA/PGDM or Certification in Capital Markets / Compliance (Preferred).
Experience:
• 5 years of relevant experience in the broking/wealth/capital markets industry.
• Strong exposure to account opening for NRI, Corporate, and FPI clients.
• Hands-on knowledge of SEBI, Exchanges, and depositories' KYC norms.
Key Skills & Competencies:
• Strong understanding of KYC, AML, FATCA, CRS, UBO, FEMA guidelines.
• Attention to detail with ability to scrutinize complex documentation.
• Proficient in using back-office systems, CKYC/KRA upload portals.
• Excellent communication & interpersonal skills.
• Ability to work under pressure with multiple stakeholders.
• Strong process orientation and client-centric approach.
Desirable Certifications:
• NISM Series VII: Securities Operations and Risk Management
• Certified AML/KYC professional (optional but preferred)
