Senior Executive - Account Opening

Jainam Broking Limited

• 1 day ago

  Location

• SNS
• Department
• Account Opening - JBL
• Employment Type
• Full-time
• Applications Received
• 5
• Closes On
• 20 Oct, 2026
• Key Responsibilities
• KYC & Account Opening

• Process new client account opening (Individual, Non-Individual, NRI, Corporate, HUF, Trust, etc.)
• Verify and validate KYC documents as per SEBI, Exchanges, and AML guidelines
• Perform IPV (In-Person Verification) via physical or digital modes
• Ensure accurate entry of client data into back-office and trading systems
• Coordinate with Sales, Branch teams, and Clients for document completion

Compliance & Regulatory

• Ensure compliance with SEBI, NSE/BSE, CDSL/NSDL, PMLA, and AML requirements
• Handle CKYC registration, modification, and rejection cases
• Monitor and resolve KYC discrepancies, alerts, and rejections
• Maintain audit-ready documentation and records

Operational Excellence

• Track and close pending cases within defined TAT
• Resolve client and internal queries related to onboarding and KYC
• Support internal/external audits and regulatory inspections
• Identify process gaps and suggest improvements for efficiency

Reporting & MIS

• Prepare daily/weekly MIS on account opening status, pendency, and rejections
• Maintain accurate records of approvals, modifications, and closures

Key Skills & Competencies

Technical Skills

• Strong knowledge of KYC, AML, and PMLA regulations
• Familiarity with SEBI circulars, Exchanges, and Depositories
• Hands-on experience with CDSL/NSDL, CKYC, and back-office systems
• Proficiency in MS Excel and internal reporting tools

Behavioral Skills

• High attention to detail and accuracy
• Strong communication and coordination skills
• Ability to work under deadlines and handle volumes
• Problem-solving and analytical mindset

• Graduate in Commerce, Finance, or related field
• NISM certification (preferred)

• 3–6 years of relevant experience in KYC & Account Opening within a Stock Broking Firm / Financial Services Company

Key Performance Indicators (KPIs)

• Turnaround Time (TAT) for account opening
• Accuracy and rejection rate
• Regulatory compliance and audit observations
• Client satisfaction and query resolution