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    Deputy Manager/Manager – KYC Operations - Mumbai, India - Kotak Securities

    Kotak Securities
    Kotak Securities Mumbai, India

    1 week ago

    Default job background
    Accounting / Finance
    Description

    OB ROLE:


    •Client on-boarding, due diligence and other KYC / PMLA documentation in co-ordination with Compliance team & Business.


    •Ensure all new client relationships have undergone the appropriate client identification screening (KYC) prior to opening a new account. All existing clients KYC is refreshed on a periodic basis and necessary escalation to the clients / business / compliance is performed.


    •Ensure client information is updated correctly at our end in our process, system and reporting (Internal, regulatory etc.) done accordingly. Continuously work with AML Compliance, Legal, Sales and Regional Teams on completing KYC and client information updates.


    •Able to read and understand the new circular independently and take it ahead with the process and after consultation with the compliance.


    •Keeping stakeholders updated on exceptions and working proactively to ensure necessary compliance with policies & regulations


    •Documenting procedures and ensuring that the same are kept up to date.


    • Should have knowledge of trade life cycle for various financial products in the Indian Capital Market like Listed Equities, Listed Derivatives, Listed Currency Derivatives, etc.


    • Able to handle the retrieving and uploading process of KRA and CKYC workflow. Also Timely preparation of various MIS and other statutory reports.


    • Perform UAT for various processes and systems. Contribute to the development of methods to improve processes, controls and systems

    SKILL:


    •The candidate should have experience of 7-10 years in relevant industry (Indian Financial Markets ) and functions related to client KYC. Should have experience of turning policy into practice and continuously update the procedures.


    •Excellent verbal and written communication skills


    •He / She should be a good team player and should have potential of building a team as a team leader.


    •Graduate / Post Graduate. (NCFM / BCFM / NISM Certified candidates preferred).

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