RTA Compliance Specialist - SEBI/NISM - BFS

Brief about the role-

- Manage end-to-end operations involved in processing of the applications as well as maintain detailed records of the transactions of investors in compliance with applicable regulations

- Monitoring unclear purchases and pending transactions report.

- Supervised resolution of queries/complaints received from investors/distributors/internal stakeholders and across branches as well as ensure closure of complaints received from investors/ SEBI and the other stakeholders within the agreed TAT

- Ensure daily reports such as DTR, High Value Transaction Redemption or switch, Distributor AUM, Call Center Report, Branch AUM report are shared with the respective recipients.

- Follow ups to be taken for NCT pending as per second and third level escalation and DC reject cases.

- Actively involvement in NFO Process includes designing forms; activating online platforms for fresh purchase and communication to the investors/ brokers.

- Liaison with CDSL/NSDL for listing new and roll-over schemes on the BSE/ NSE platform.

- Working on reports which needs to be shared with compliance to report it to SEBI/ AMFI/ FIU

- Working on CKYC projects which includes uploading, preparing txt files, generating response files, etc.

- Client servicing for portfolio management services.

- Monitoring Sales, Institution and RTA operations mailbox.

- Co-ordination for resolution of all type of queries at escalation level

- Manage, control and monitor end-to-end RTA processes while ensure processing of documents in line with industry standards while simultaneously improving internal controls to suit the business specific requirements

- Creation of systems and SOPs for entire operations to reduce TAT and increase productivity

- Interacting with fund houses, understanding and documenting requirements

Desired Skills-

- Ability to lead and independently manage the operational and compliance set-up in relation to RTA and/or STA services.

- Good technical, operational and compliance knowledge pertaining to the functioning of RTA and/or STA.

- Possess a highly solution oriented and business focused approach and always play an enabling role for growth of business.

- Ability to understand business requirements and how this would translate to requirements from the legal team.

- Be as ambitious as we are, and hence willing to travel, go out of her / his way to build at the highest quality, to meet goals and deadlines.

- Posses acumen to understand the commercial, operational and structural aspects of products and services, to effectively implement such learning.

- Reliability for timely and effective completion of work allocated.

Work Environment Details

- We will provide you an opportunity to play a formative role in an ambitious RTA services.

- A journey that would challenging as well as provide high growth basis performance