Manager-Back Office Operations
18 Steps Consultants
- 1 Vacancy
- Thiruvalla
-
No ratings yet!
- Posted: Today
- Not yet applied
- Job id6891b78a3ef6a3deb88609e9
- Experience5 - 6 years
- SalaryNot disclosed
- Job Applicants0
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.
Skills
- Good Verbal and Written Communication
- Insurance
- KYC
- Coordination
- Banking Operations
Requirements
- Job Role Manager-Back Office Operations
- Job Type Full Time
- Workplace Type Onsite
- Industry Human Resources Services
Secondary locations
Not providedAbout
Not provided
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
Other 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
- Education: Graduation
- Saturdays and Sundays are off.
- Work from Office
- Age Max. 40 years
Good to have
Not provided
About the Company
18 steps consultants is a recruitment consultancy based out of Kerala, India. We cater to various industries and provide hiring assistance at all levels.