Senior Operations Executive

We are looking for an experienced Manager – Client Operations & Transaction Management to oversee end-to-end investment operations, client servicing, transaction management, and regulatory compliance. The ideal candidate will have strong expertise in financial products, operational processes, and team management while ensuring a seamless experience for clients.

Key Responsibilities

1. Investment Operations & Transaction Management

• Process investment transactions across Mutual Funds, Bonds, NCDs, Fixed Deposits, and other financial products.
• Manage redemption requests, transaction follow-ups, and RTGS coordination.
• Ensure timely, accurate, and compliant execution of all client transactions.

2. Client Onboarding & Compliance

• Handle client onboarding, account activation, and KYC documentation.
• Coordinate ACH mandate registrations and ensure adherence to regulatory requirements.
• Verify client documentation, application forms, and compliance-related records.

3. Client Relationship & Service Management

• Provide prompt and effective resolution of client queries and service requests.
• Coordinate with Relationship Managers, clients, Asset Management Companies (AMCs), and product partners.
• Support servicing requirements for NRI clients and facilitate their investment transactions.

4. Portfolio Management & Reporting

• Review client portfolios and investment holdings using portfolio management software.
• Prepare portfolio statements, review reports, and investment summaries.
• Assist Relationship Managers during periodic portfolio review meetings and client follow-ups.

5. Documentation & Data Management

• Maintain accurate client records and operational documentation.
• Update and manage data within Investwell, CRM systems, and internal databases.
• Ensure proper record maintenance in line with regulatory and organizational standards.

6. Product & AMC Coordination

• Coordinate operational activities related to New Fund Offers (NFOs), Sovereign Gold Bonds (SGBs), Bonds, NCDs, and Fixed Deposits.
• Liaise with AMCs and product providers for transaction processing and operational support.
• Manage renewals and execution of investment products.

7. MIS & Operational Reporting

• Prepare daily MIS reports and operational dashboards.
• Track pending transactions and ensure timely closure.
• Provide regular operational updates and reports to management and other stakeholders.

8. Team Leadership & Coordination

• Lead, mentor, and support junior operations team members.
• Coordinate with Operations Assistants to ensure efficient workflow management.
• Allocate responsibilities, monitor performance, and ensure timely completion of operational activities.
• Drive collaboration and maintain high levels of operational efficiency across the team.

9. Process Improvement & Operational Excellence

• Ensure operational accuracy, compliance, and high service standards.
• Resolve operational issues within defined turnaround timelines.
• Identify opportunities for process optimization and implement operational improvements.
• Develop and strengthen systems, processes, and internal controls to ensure smooth and error-free operations.
• Stay updated with regulatory, industry, and platform changes, ensuring timely implementation across operational processes.

Required Experience & Skills

• Minimum 5 years of experience in Financial Services, Wealth Management, Investment Operations, or a related domain.
• Strong understanding of Mutual Funds, Bonds, NCDs, Fixed Deposits, KYC, and regulatory compliance.
• Hands-on experience with Investwell, MS Excel, CRM platforms, and client reporting tools.
• Excellent communication, stakeholder management, coordination, and leadership abilities.
• Strong analytical, organizational, and problem-solving skills with keen attention to detail.
• Ability to manage multiple priorities while maintaining accuracy and compliance.