About The Role

We are looking for an experienced Assistant Manager – KYC to manage Know Your Customer (KYC) operations for our stock broking business. The role involves overseeing client onboarding, KYC verification, documentation, account activation, and regulatory compliance in accordance with applicable SEBI, exchange, and KRA requirements.

Key Responsibilities

- KYC Client Onboarding: Manage end-to-end client onboarding, including individual and non-individual account opening, document verification, and account activation.
- Regulatory Compliance: Ensure adherence to applicable SEBI, NSE/BSE, CDSL/NSDL, KRA, and other regulatory requirements.
- Documentation Verification: Review PAN, Aadhaar-based verification, bank proof, IPV/video verification, FATCA/CRS declarations, and other required documents.
- CKYC KRA Operations: Manage KYC registration, validation, modification, rejection resolution, and record updates with relevant KYC Registration Agencies.
- Quality Control: Monitor KYC files, identify discrepancies, ensure completeness of records, and maintain audit-ready documentation.
- Exception Management: Resolve onboarding errors, KYC rejections, document mismatches, and escalations within defined turnaround times.
- Team Management: Supervise KYC executives, allocate workloads, monitor productivity, and ensure adherence to SOPs and service-level agreements.
- Audit Reporting: Support internal, statutory, exchange, and regulatory audits; maintain MIS reports on onboarding volumes, pending cases, rejections, and TAT.
- Process Improvement: Develop and improve KYC SOPs, checklists, and workflows to improve operational efficiency and reduce errors.
- Stakeholder Coordination:



Work closely with Compliance, Risk, Operations, Technology, and Customer Support teams to ensure smooth onboarding.

Eligibility Criteria
- Graduate in any discipline; a degree in Finance, Commerce, or Business Administration is preferred.
- 4–7 years of experience in KYC, client onboarding, or compliance operations, preferably with a stock broker, securities firm, or financial services company.
- Prior experience handling stock broking account opening and regulatory KYC requirements.
- Working knowledge of SEBI regulations, NSE/BSE requirements, KRA processes, and depository-related onboarding requirements.
- Experience in team handling, quality checks, MIS reporting, and operational escalations.
- Strong attention to detail, documentation skills, and stakeholder management abilities.

Key Performance Indicators (KPIs)
- KYC processing turnaround time (TAT).
- First-time-right KYC verification rate.
- KYC rejection and error rate.
- Pending onboarding cases and backlog.
- Regulatory compliance and audit observations.
- Team productivity and adherence to defined SLAs.

Ideal Candidate Profile The ideal candidate should be detail-oriented, process-driven, and comfortable working in a fast-paced stock broking setting. They should possess practical knowledge of KYC regulations, strong execution skills, and the ability to manage a team while maintaining compliance and operational accuracy.

Recommended hiring specifications

Experience: 4–7 years overall; relevant stock broking KYC experience mandatory.

Reporting to: Compliance Manager / Head of Operations.

Preferred background: Discount brokers, full-service brokers, securities firms, and other SEBI-regulated intermediaries.

📌 Assistant Manager - KYC (Stock Broking) (Gurugram)
🏢 Univest
📍 Gurugram