Back Office Executive-compliance

7 days ago

Vesu Surat Gujarat, India CKREDENCE WEALTH MANAGMENT FORMALY CHIRAGINVESTMENT Full time

To assist with account opening and customer service, we are looking for a well-organized and meticulous back office executive. The ideal applicant will be in charge of overseeing the processing of accounts both online and offline, making sure that regulations are followed, keeping correct records, and managing a variety of administrative and communication duties.

**Key Responsibilities**:
**Account Opening Process (Online & Offline)**:

- End-to-end handling of individual and corporate account openings
- Verification of documents, data entry, and client coordination
- Generation and dispatch of client welcome letters

**Regulatory Compliance (CVL KRA, CKYC)**:

- Updating and validating client details as per KYC norms
- Submitting and tracking data with CVL KRA and CKYC portals

**Communication Handling**:

- Coordinating with intermediaries, brokers, and clients for queries and updates
- Drafting professional communication and maintaining correspondence records

**Form & Document Management**:

- Scanning all forms and documents into the designated software
- Ensuring quality, legibility, and proper naming conventions

**Account Opening Form Record Maintenance**:

- Tracking pending forms, wastage, stock, and associated costs
- Maintaining logs for reference and audit purposes

**Data Backup**:

- Regular backup of scanned data and documents on OneDrive or designated storage
- Ensuring data security and easy retrieval

**SEBI / Regulatory Notices & Information**:

- Receiving, documenting, and disseminating important regulatory updates
- Maintaining a repository for SEBI/intermediary circulars and notices

**Query Register Maintenance**:

- Logging all internal and external queries with resolution status
- Coordinating with respective departments for timely closures

**General Office Tasks (As & When Required)**:

- Assisting with ad hoc administrative or operational tasks
- Supporting other teams during audits or high-volume periods

**Account Closure Process**:

- Handling end-to-end account closure requests
- Ensuring proper documentation, settlement, and compliance steps are followed

**Key Skills & Requirements**:

- Graduate in Commerce, Business Administration, or related field
- 1-3 years of relevant experience in back office or operations
- Knowledge of KYC, CVL KRA, and CKYC processes
- Proficiency in MS Office, especially Excel & Word
- Experience with document scanning software and cloud storage
- Strong communication and record-keeping skills
- Ability to work independently and manage multiple priorities

**Preferred Qualifications**:

- Experience in financial services or stock broking firm
- Understanding of SEBI regulations and compliance guidelines
- Familiarity with CRM or back office management software

Pay: From ₹15,000.00 per month

**Benefits**:

- Health insurance
- Leave encashment
- Life insurance
- Paid sick time
- Paid time off

Schedule:

- Day shift

**Education**:

- Bachelor's (required)

**Experience**:

- financial market: 1 year (preferred)

License/Certification:

- NISM - RIA (required)

**Location**:

- Vesu, Surat, Gujarat (preferred)

Work Location: In person

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