Aug 2023 – Feb 2024 · 6 mos · Bengaluru, Karnataka, India · On-site

• During my tenure, I had the opportunity to gain hands-on experience across multiple domains, including KYC, RMS, and Operations/Depository-related functions.
• KYC-Related Responsibilities:
• Onboarding individual and non-individual clients such as HUFs, LLPs, Private Limited Companies, and other corporate entities.
• Coordinating with exchanges (NSE and BSE) for client KYC and RMS-related processes.
• Managing KRA-related tasks for both individual and non-individual clients.
• Handling client termination and reactivation processes.
• Activating DDPI, mapping UCCs across available segments and with CDSL, and performing all related reconciliations.
• Maintaining detailed records for audit and compliance purposes.
• Generating and sharing daily MIS reports.
• Operations/Depository-Related Responsibilities:
• Managing the DP BOD (Beginning of Day) and EOD (End of Day) processes.
• Executing delivery instruction slips (DIS), issuing DIS booklets, and facilitating share transfers.
• Overseeing the settlement process and ensuring accurate and timely execution of depository functions.
• RMS (Risk Management System)-Related Exposure:
• Gained working knowledge of RTRMS.
• Engaged with SPAN and margin file activities in coordination with exchanges.
• Monitoring margin utilization, overseeing settlement processes, and managing position conversions including physical settlements.

Oct 2021 – Aug 2023 · 1 yr 10 mos · Bangalore Urban, Karnataka, India

• I was actively involved in various compliance, risk management, and operational functions, with a focus on due diligence, KYC/AML processes, and client data management.
• KYC and AML Responsibilities:
• Conducted due diligence on new individual and non-individual clients by reviewing submitted documentation and performing analytical risk assessments.
• Reviewed existing KYC and Anti-Money Laundering (AML) procedures and provided recommendations for process improvements to enhance compliance and efficiency.
• Ensured the adequacy and accuracy of all regulatory documentation submitted by clients.
• Modified client data as per official requests and ensured updates were accurately reflected across internal systems and regulatory platforms.
• Regulatory Reporting and Compliance:
• Collected and submitted client data to CERSAI to complete CKYC formalities, and to CVL KRA for KYC compliance.
• Periodically evaluated existing clients to ensure KYC records were complete and adhered to internal policies and regulatory guidelines.
• Exported and updated all client modifications in CDSL, NSE, BSE, MCX, and Dion portals, ensuring consistency for IPOs and other corporate actions.
• Operational and Analytical Tasks:
• Prepared data analytics reports to identify the source of client acquisition through the portal and shared relevant information with the back office for referral tracking and bonus disbursement.
• Resolved inter-departmental queries related to KYC processes and supported colleagues to ensure smooth and accurate production workflows.
• RMS (Risk Management System) Exposure:
• Gained valuable exposure to the RMS framework, including risk management processes at both broker and client levels.
• Acquired an understanding of risk terminologies, RTRMS, position squaring-off procedures, and monitoring of margin utilization to mitigate trading risks.

Jun 2019 – Aug 2019 · 2 mos · Allahabad Area, India

• Financial services,
• Create and Managing KYC and understanding of Business Risk of work and oversee the process end to end and obtain all necessary supporting evidence to fulfill due diligence