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
- Valuable verbal and written communication skills
- Knowledge of financial products like Mutual Funds and stocks
- KYC Experience in Mutual Fund or stock broking operations.

📌 KYC Manager / Head (Vadodara)
🏢 A C Agarwal Share Brokers
📍 Vadodara