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Partner at Premier Consultants
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AVP/VP - Custody Services - Bank (4-10 yrs)
- Would be responsible to issue FPI Registration Certificate as DDP
- Doing KYC of FPI, FVCI, FDI, PMS, AIF, Corporate, Partnership, HUF, Individual, etc. clients
- Onboarding above clients
- Communicating with Business, Product and clients for changes in account opening / onboarding process / Regulation
- Document verification of account opening documents of above clients
- Coordinating with Compliance, Legal, Risk, Bank RL Process team for changes in account opening process / Regulations
- Handing over the documents to account opening team and communicating status of account to clients
- Designing of account opening forms as per the change in process / Regulation and getting approval from all stakeholder
- Sending Regulatory reports to SEBI as DDP
Having detailed understanding of following Regulations:
- SEBI Foreign Portfolio Investors Regulation
- Designated Depository Participant Regulation
- Operational Guidelines for FPIs & DDPs under SEBI (Foreign Portfolio Investors), Regulations 2019 and for Eligible Foreign Investors
- FEMA (non-Debt instruments) Rule 2019
- FEMA (Debt instruments) Regulations 2019
- FEMA (Mode of Payment and Reporting of Non Debt Instruments) Regulations 2019
- RBI / SEBI KYC norms
- AML / Anti Money Laundering Policy
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