Assistant Manager - Operations

Job Description

• The Job Holder s responsibilities extend to manage and oversee processing of Trade & Settlement of funds & securities, Third party product IPO, Advance Brokerage scheme, Company fixed deposit for Retail Broking, PMS, NRI Clients.
• Manage Account opening, modification, closure, transmission & non-individual account documents on daily basis for CCIB/BB/ PvB/Priority segments.
• Manage & oversee processing of Portfolio Management Schemes
• Manage & oversee all activities of operations as a second in command or line after Line Manager/Head Ops.
• Exclusive Focus on UAT of systems, Evaluation of Procedures to ensure wasteful process are eliminated and existing process are optimized.
• Strong focus on all Regulatory reporting and validation of the same with the checks and balances introduce to ensure accuracy. Take end to end responsibility of for all the regulatory compliance & logics built into the system.
• Built / Maintain /update tracker of all the issues observed during BAU with a view to improve processes by automation. This Roll requires high degree of independence, ability to quickly analyse issues / situations and get to the depth of the matter to resolve it.
• Manage & lead regulatory, Group, Internal, Statutory etc Audits
• Ensure all the services are delivered to the agreed SLAs monitor, measures and report performance of services being delivered.
• To oversee and ensure processing within the timelines defined by Regulators, Group & Process notes
• Ensuring completion of all Audits from Operation perspective in compliance
• Identifying the system requirement of new product development, Regulatory requirement, development, testing & system enhancements on timely basis
• Coordinate with Technology / Vendor to implement the regulatory / client level delivery
• To immediately bring to notice of the management any deviation, breach, concern, whenever applicable
• To maintain high level of integrity
• To remain vigilant and always oversee the activities of the team, with an eye for detail
• Oversee timely co-ordination with Auditors / Inspection team for Operations
• Familiar with all relevant IT applications like LD,LDCCM, Miles, Omne TR, DP Secure, DPM, CDAS etc
• Well versed with all laid down process requirements by SCB CDD, FCC, CCIB, PVB units
• To ensure timely responses to the Management, Seniors, other units, including managing stakeholders
• To always ensure error free processing of all type of requests
• To ensure compliance with the SEBI, Exchange, KYC standards and rules & regulations of the Company, the Group and all Regulators at all times
• To ensure that complaints and enquires are resolved as per defined turnaround time
• Well versed with KRA/ CKYC registration process and the requirements for Individuals & Non-Individuals
• To oversee timely processing and response for Prohibitory/Attachment orders & Regulatory queries
• Good knowledge of MS-Excel and MS Office
• Well versed with current KYC Norms / CDD Procedures/ Regulatory guidelines
• To publish all types of MIS and critical business reports to Senior Management and stakeholders
• Handle the job additionally assign by Line Manager from time to time.

Regulatory & Business Conduct

• Display exemplary conduct and live by the Group s Values and Code of Conduct.
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Perform Team leader role diligently with integrity to achieve the outcomes set out in the Bank s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.]
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Comply with SEBI, NSDL, CDSL, RBI and all other Regulatory guidelines & requirements at all times

QUALIFICATIONSPost Graduate & NISM qualified,

Keyskills :
portfolio managementaccount openingproduct developmentsalesaccountstatsenior managementfinancial marketsregulatory reportingbankingnew product developmentmis