Manager - KYC, Risk and Compliance

About the Role

We are seeking an experienced KYC Manager to lead and manage client onboarding, KYC verification, and regulatory compliance processes within a SEBI-registered stock broking environment.

This role will be responsible for ensuring accurate, compliant, and efficient onboarding of clients, while managing KYC operations, documentation, and regulatory adherence across systems and branches.

Key Responsibilities

KYC Operations & Client Onboarding

• Oversee end-to-end client onboarding and KYC processes for retail, HNI, and corporate clients

• Ensure accurate verification of KYC documents, PAN, Aadhaar, IPV, and bank details

• Manage onboarding across online and offline channels

Regulatory Compliance & Governance

• Ensure strict adherence to SEBI, Exchange (NSE/BSE), and KYC/AML guidelines

• Stay updated with regulatory changes and implement necessary process updates

• Ensure compliance with CKYC, PMLA, FATCA, and risk categorization norms

Process Management & Quality Control

• Establish and maintain SOPs and workflows for KYC and onboarding processes

• Monitor quality of KYC verifications and ensure error-free documentation

• Conduct periodic audits and checks to ensure process adherence

Team Management & Training

• Lead and manage the KYC operations team

• Train team members on regulatory requirements and process updates

• Monitor team productivity, TATs, and accuracy metrics

Issue Resolution & Escalation Management

• Handle escalations related to KYC rejections, discrepancies, and onboarding delays

• Coordinate with compliance, operations, and tech teams to resolve issues

• Ensure timely closure of onboarding-related queries

System & Process Improvement

• Work closely with product and tech teams to improve onboarding journeys and KYC workflows

• Drive automation and digitization of KYC processes

• Enhance client experience while maintaining compliance standards

Reporting & MIS

• Track and report KYC volumes, TATs, rejection rates, and compliance metrics

• Prepare MIS dashboards for leadership and compliance teams

• Provide insights to improve onboarding efficiency and accuracy

Required Skills & Qualifications

• Bachelor’s degree in Finance, Commerce, Business, or related field

• 4–8 years of experience in KYC / onboarding / compliance operations in stock broking or financial services

• Strong knowledge of SEBI regulations, KYC/AML norms, CKYC, FATCA, and PMLA guidelines

• Experience in handling retail, HNI, and corporate onboarding

• Strong attention to detail and process orientation

• Good communication and stakeholder management skills

Preferred (Good to Have)

• Experience with KYC systems, onboarding platforms, and CRM tools

• Exposure to CDSL/NSDL processes and demat account opening

• NISM certification or relevant compliance certifications

Key Competencies

• Strong compliance and risk awareness

• Attention to detail and accuracy

• Process-driven and structured approach

• Team leadership and management

• Ability to work in a fast-paced, high-volume environment

Why Join Us

• Opportunity to manage mission-critical onboarding and compliance operations

• Exposure to core broking systems and regulatory frameworks

• Work closely with product, compliance, and operations teams

• High ownership role with strong impact on customer experience