Executive

Job Details

• Job Title: Executive
• Department: KYC
• Industry: Stock Broking / Financial Services
• Location: Ghaziabad
• Experience: 13 Years
• Employment Type: Full-Time

Job Summary

We are looking for a detail-oriented and customer-focused Account Opening Executive to manage the end-to-end process of opening and activating trading and demat accounts. The candidate will be responsible for document verification, KYC processing, coordination with clients and internal teams, and ensuring that all account-opening activities are completed accurately and within defined timelines.

The ideal candidate should have knowledge of stock market operations, KYC, trading and demat account opening, and regulatory requirements.

Key Responsibilities

• Handle the end-to-end account opening process for new clients.
• Handle all types of account opening processes, including individual and non-individual accounts.
• Process all types of account modifications and ensure that the required documents and approvals are completed accurately.
• Handle all types of transmission requests and coordinate with clients, legal/heirs, compliance, and operations teams as required.
• Handle and resolve all KYC-related queries, including KYC updation, discrepancies, rejections, CKYC-related matters, and documentation requirements.
• Manage the end-to-end onboarding and documentation process for all types of non-individual accounts, including corporate, partnership, LLP, HUF, trust, and other applicable entities.
• Ensure that account opening, modification, transmission, and KYC requests are processed within defined TATs and in accordance with applicable regulatory requirements.
• Coordinate with internal teams to resolve complex cases and ensure timely completion of client requests.
• Verify customer applications and ensure all required documents are complete and accurate.
• Process KYC documentation, including PAN, Aadhaar, address proof, bank details, photographs, and other applicable documents.
• Coordinate with clients for missing documents, corrections, signatures, and other account-opening requirements.
• Verify client information in accordance with applicable KYC and regulatory guidelines.
• Process and monitor online/offline account-opening forms and ensure timely activation.
• Coordinate with KYC, Compliance, Risk, Operations, and Sales teams for smooth client onboarding.
• Resolve discrepancies in applications and follow up until account activation.
• Maintain accurate records of client applications and account-opening status.
• Ensure proper documentation and record-keeping as per company policies and regulatory requirements.
• Monitor pending applications and follow up with relevant stakeholders to ensure timely closure.
• Assist clients with queries related to trading accounts, demat accounts, KYC, and onboarding procedures.
• Ensure adherence to internal SOPs, compliance requirements, and applicable SEBI/exchange/depository guidelines.
• Prepare daily/weekly MIS reports relating to account opening, pending cases, rejections, and activations.
• Identify recurring issues in the account-opening process and suggest improvements.

Required Skills Knowledge

• Good understanding of stock market and broking operations.
• Knowledge of Trading and Demat Account Opening processes.
• Understanding of KYC, CKYC, IPV/video KYC, and client onboarding procedures.
• Basic knowledge of SEBI, NSE/BSE, NSDL/CDSL and applicable regulatory requirements.
• Good knowledge of MS Excel and basic reporting.
• Strong attention to detail and accuracy.
• Good communication and interpersonal skills.
• Ability to coordinate with multiple internal teams and clients.
• Good follow-up and problem-solving skills.

Qualifications

• Graduate in any discipline.
• Candidates with a degree/diploma in Finance, Banking, Commerce, or related fields will be preferred.
• NISM certification will be an added advantage.

Key Performance Indicators (KPIs)

• Number of accounts successfully opened and activated.
• Turnaround time for account opening.
• Accuracy of KYC and account-opening documentation.
• Reduction in rejected/incomplete applications.
• Timely resolution of pending applications.
• Compliance with internal SOPs and regulatory requirements.
• Client onboarding experience and query resolution.

Preferred Experience

• Stock Broking / Brokerage Firms
• Depository Participants
• Banks / NBFCs
• Wealth Management Companies
• FinTech / Investment Platforms
• KYC / Client Onboarding Operations

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