About the role
Responsibility-
1)Taking care of end to end process of client’s journey from Account Opening to Closure. Reconciliation of Franking/E-stamping and storage.
2)Well-versed with KYC guidelines of CDSL / NSDL, SEBI, and Demat Account Opening.
3)Responsible for managing workflow for the team and ensure adherence to departmental standards.
4) Coordinating with regulators like NSE, BSE, NSDL, CDSL and MCX to implement and adopt new regulations.
5)To work with senior management on audit and preparation of reports, Co-ordination and timely closure of audit.
6)Responsible for processing KRA and C-KYC for all the new Accounts and Modification.
7)Well-versed with the DP, Exchange Platforms, and Back office Applications.
8)Performing the due diligence on new Clients, requesting the KYC information, documentation, review and verification of received documentation and making an analytical risk assessment for new Clients.
9)Thorough and succinctly document the processes related to the KYC / AML / KRA & CKYC related activities, for an audience that includes Management, Regulators, Internal Audit & Internal Compliance.
10Vendor management- ensuring effective, complaint, and efficient collaboration with third- party service providers supporting depository functions.
11Ensure timely resolution of issues impacting depository operations through a structured escalation process.