New
Job Preference:
Qualifications / Skills/ Knowledge: •- Any Graduate / Post Graduate Qualifications.
- 3-6 years’ experience in operations.
- Good Knowledge of the Regulatory Framework and Financial Eco System Viz Stock Exchanges, Mutual Funds, Brokers, DP, PMS.
- Having a flair towards implementation of projects and technology applications in business e.g. – Wealth Spectrum, BSE Star will be an advantage.
- Strong knowledge of industry processes and regulations.
- Outstanding communication and interpersonal abilities.An analytical mindset with excellent organizational skills.
Qualification:
Any Graduate, Any Post GraduateJob Description:
Job Responsibilities:- Execute and oversee all business operations relating to transactions, client servicing and compliance for IA and PMS.
- Support the operations / client management team to troubleshoot issues, optimise working processes .
- Review and evaluate company procedures and reports to identify hidden risks or common issues.
- Provide timely and accurate MIS reports and analysis for management decision making. Identify and recommend improvements to established procedures, forms and workflows.
- Build relationships with the service providers .
- Comply with the Firm’s code of ethics/personal trading policies through the Firm’s compliance software .
- Special projects as necessary.
Compliance: - exposure to this will be an advantage :
- Provide regulatory oversight, risk management, and policy implementation.
- Design and monitor control systems to deal with violations of legal rules and internal policies.
- Regularly assess the efficiency of control systems and recommend effective improvements.
- Monitor new legal and regulatory developments and update policies and procedures accordingly.
- Conduct risk assessments; recommend risk mitigation techniques and controls.
- Review marketing materials and client communications to ensure compliance with relevant laws and regulations .
- Coordinate with different department managers to review all departmental compliance policies at regular intervals
- Respond to regulatory inquiries and third-party examiners.
- Conduct appropriate surveillance of business activities, including a review of investment allocations and investment guidelines and restrictions, specifically as it relates to the Firm’s registered investment products.