KYC Operations Executive

Job Description:

Job Description:

KYC Operations – Stock Broking

Position: KYC Operations Executive

Location: Malad West

Experience: 4+ years

Certification: NISM VI- Mandatory Role Overview The KYC Operations Executive will be responsible for handling end-to-end KYC, Re-KYC, and account opening processes (online and offline) for clients in a stock broking environment.

The role requires strong knowledge of regulatory requirements, KRA processes, CDSL operations, and compliance procedures. The candidate should possess good communication skills and the ability to interact effectively with clients.

Key Responsibilities

• Account Opening Operations

• Handle online and offline account opening for individual, NRI, NRE, and NRO clients.

• Verify client documents as per regulatory guidelines and internal policies.

• Ensure timely activation of accounts after validation and approvals.

• Assist clients in completing digital onboarding processes. KYC & Re-KYC Management

• Manage KYC and Re-KYC processes (Online & Offline) in line with SEBI and Exchange regulations.

• Validate documents for identity, address, income proof, bank proof, and other mandatory requirements.

• Ensure accurate and error-free data entry in systems.

• Coordinate with clients for any missing or additional documentation. KRA (CVL KRA) Process

• Upload and verify KYC documents on CVL KRA portal.

• Track KRA status and follow up on any discrepancies or rejections.

• Ensure compliance with latest KRA updates and guidelines. CDSL Operations & Compliance

• Handle CDSL & CDAS operations including BO account creation, modification, and maintenance.

• Process demat requests, account linking, freeze/unfreeze, and nominee updates.

• Ensure accurate execution of CDSL compliance and registration requirements.

• Maintain records as per audit and compliance norms.

• Daily BOD/EOD file updates from CDAS to the Back Office

• Updating ISIN Corporate Action files in the Back Office

• Managing daily status of active, inactive, and dormant clients

• Updating client details in the Back Office and DP portal

• Tagging of clients (BSDA, debarred entities), and performing closure, suspension, and disable actions as required Client Interaction & Support

• Communicate with clients to resolve queries related to KYC, Re-KYC, account opening, and documentation.

• Provide timely updates on application status and pending requirements.

• Maintain high levels of professionalism and service quality.

Required Skills & Qualifications

• Graduate in Commerce/Finance or relevant field.

• Experience in stock broking KYC/operations/compliance.

• Strong knowledge of: o KYC & Re-KYC documentation o CVL KRA processes o CDSL/CDAS operations o NRI/NRE/NRO account opening o Stock broking compliance framework

• Excellent communication skills (verbal & written).

• Good client-handling and coordination skills.

• Attention to detail and ability to work in a fast-paced environment.

• Proficiency in MS Office & KYC portals.