Location Details:
Salary Details
Experience
- The ideal candidate would have min 5 years of support experience in the BFSI sector.
- Good verbal & written communication skills Knowledge of financial products like MF, Insurance, and stocks
- Experience in MF or KYC or stock broking operations
Job Description
A leading stock broking firm is hiring Manager-Back Office Operations for their private wealth management department. If you are an
experienced banking/broking operations professional, then this opportunity is
for you. This role involves pure operations work and NO sales or targets.
Position: Manager-Back Office Operations
Location: Thiruvalla
Education: Graduation
Experience: Min. 5 years of support experience in the BFSI sector.
Salary: Up to 6lpa
Saturdays and Sundays are off.
Work from Office
Age Max. 40 years
Roles & Responsibilities:
Responsibilities:
- Oversee
the KYC process and ensure compliance with regulatory requirements. Ensure
all clients are onboarded within the onboarding timelines agreed
- Develop,
and implement KYC policies and procedures and conduct regular audits of
KYC process & Documentation.
- Verification
of Account opening forms and supporting documents
- Uploading
UCC/DP details to Exchange(s)/ Depository
- Verify
and Approve the closure requests and Account modifications
- Opening
of Broker's Demat Account and Trading Account
- Process
knowledge and verification of Transfer cum closure in DPs
- Uploading
Client details in the CKYC portal & CVL KRA portal as per SEBI TAT.
- Issuing
and maintaining of 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
& 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 on-going KYC training plan and enhance staff knowledge of
business and product
Requirements
- The
ideal candidate would have min. 5 years of support experience in the BFSI
sector.
- Good
verbal & written communication skills Knowledge of financial products
like MF, Insurance, and stocks
- Experience
in MF or KYC or stock broking operations
