Executive

Role & responsibilities

The PMS Client Onboarding Executive is responsible for managing the end-to-end
onboarding lifecycle of clients investing in Portfolio Management Services. The role
ensures seamless account setup, strict adherence to regulatory norms, and accurate
maintenance of client records while delivering a smooth onboarding experience.
Key Responsibilities Client Onboarding & Account Setup
• Manage complete onboarding of PMS clients, including collection, verification,
and processing of KYC documents.
• Ensure compliance with Securities and Exchange Board of India regulations and
internal policies during onboarding.
• Coordinate account opening with custodians, banks, and depositories.
• Set up client profiles in portfolio management systems with accurate details.
KYC & Documentation Compliance
• Perform thorough KYC checks including PAN validation, address verification,
FATCA/CRS declarations, and risk profiling.
• Ensure all documentation meets regulatory and audit standards.
• Maintain proper records for audit trails and regulatory inspections.
Client Data Management
• Maintain and update client master data, including personal details, bank
mandates, and nominee information.
• Process modifications such as changes in address, bank details, or contact
information.
• Ensure data integrity and confidentiality at all times.
Coordination & Stakeholder Management
• Liaise with custodians, brokers, RTA, and internal compliance teams to ensure
timely onboarding.
• Act as a point of contact for clients and relationship managers for onboardingrelated queries.
• Follow up on pending documentation and resolve onboarding issues promptly.
Regulatory & Audit Support
• Ensure onboarding processes are aligned with SEBI PMS guidelines and AML
requirements.
• Support internal and external audits by providing necessary documentation and
reports.
Process Efficiency & Controls
• Track onboarding timelines and ensure SLAs are met.
• Identify bottlenecks and suggest improvements to streamline onboarding
processes.
• Assist in implementing automation and digital onboarding initiatives.

Preferred candidate profile

Bachelors degree in Finance, Commerce, or related field.
• 14 years of experience in KYC / onboarding / financial operations (PMS, AMC, or wealth management preferred).
• Strong knowledge of KYC, AML, FATCA/CRS norms, and SEBI regulations.
• High attention to detail and strong documentation skills.
• Good communication and stakeholder coordination abilities.
• Proficiency in MS Excel and onboarding/CRM systems