Job Responsibilities:

•Checking of Client Profiling and account opening at the client on boarding for AIF, Advisory and PMS.
•Checking of Customer Negative list from all the agencies
•Verification/creation of client categorization
•Identification and Verification of STF transactions
•Knowledge of account opening for various types of investors under the AIF guidelines andInvestment Advisory along with PMS.
•Prepare and submit SEBI report in the required format for AIF and Investment Advisory and PMS
•Regulatory reporting in Investment Advisory, AIF and PMS.
•Checking and Monitoring IPS control of the Investments for various schemes in AIF and PMS.
•Checking of bond trades on the RFQ platform as regulation in AIF.
•Solve the Internal, Interim and statutory queries.
•Be the spoc for various audit and respective teams and solve the queries raised by auditors and Investors.
•Confirming of compliances at the time on onboarding and Ongoing compliances.
•Has the knowledge of AIF, Advisory and PMS guidelines and regulations.

Job Requirements:

•Should be graduate/post graduate with at least 5-11 years of experience in a Risk and control role in Private Banking, Wealth Management, Depository or Capital Markets, PMS, Advisory.
•Should have thorough knowledge and understanding of investments and securities.
•Should be abreast of the SEBI and RBI regulations applicable to the business.
•Should have excellent communication.
•Should be proficient in using Excel and other systems used in the bank.
•Usage of Wealth Spectrum will be preferable.