Handling of Shareholders request (new Account openings, Transfer , redemption, payment replacements) and ensure market cut-offs are followed.
- Conduct KYC check in order to validate the Shareholders Account for Risk & Fraud.
- Having a complete understanding of the product and the guidelines associated with it by managing a complex portfolio as an Sr Associate.
- Ensuring the accuracy and integrity of financial data to prevent any operational losses.
- Adherence to daily operation policy and procedure and internal controls.
- Performing Due diligance of Shareholders and verifying High Value transactions and documenting them. Also verifying suspicious and fraudulent activities and take accurate decisions.
- Handling & Escalating the suspicious/High value transactions for Supervisors review and it further got routed for RM's review.
- Responsible to identify Flags /OFAC stops on the accounts.
- Power of Attorney,Trust Account and Deceased Processing.
- Cross Check all the last records /call history for further processing and to find out the Identity of the
Shareholder in order to prevent the Fraud and Place Stop on the Accounts in Tools like Scrip , Workflow
& Document Viewer etc.
- Having experience in counterfeit and illegible documents review
