 
						Account Open Operations
7 days ago
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 -
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) 
- Role & responsibilities 
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