Senior Executive

Job Location: Mumbai, IND

Job Summary:

• The role exists to ensure the efficient, controlled and client-focused execution of operational activities that support Wealth Management products, services and client transactions. The role is accountable for delivering operational excellence across core processes while maintaining strong risk and control standards, service quality and regulatory compliance.
• Working closely with Front Office teams, Product partners, Risk and Compliance functions, the role oversees operational processes that enable the end-to-end client lifecycle, including onboarding, transaction processing, account maintenance, investment servicing and operational issue resolution. The role ensures service commitments are met while managing operational risks and supporting business growth objectives.
• Through effective governance, process optimisation and stakeholder engagement, the role contributes to client satisfaction, operational resilience, regulatory compliance and the scalability of Wealth Management operations.

Key Responsibilities:

Client & Transaction Operations:

• Manage Wealth Management operational processes to ensure accurate, timely and controlled execution of client transactions and servicing activities.
• Oversee transaction processing, account maintenance and operational support activities to meet agreed service levels and client expectations.
• Resolve operational exceptions, enquiries and escalations to minimise client impact and maintain service quality.
• Monitor operational performance and capacity to ensure sustainable support for business growth and changing client needs.

Client Lifecycle & Service Delivery:

• Lead operational activities across client onboarding, account opening, maintenance and closure processes to support a seamless client experience.
• Ensure client records, documentation and account information remain accurate, complete and compliant with regulatory requirements.
• Coordinate with Front Office, Compliance and Risk teams to facilitate timely completion of client lifecycle activities.
• Identify and address service gaps to improve operational efficiency and client outcomes.

Risk, Control & Regulatory Compliance:

• Maintain effective controls across Wealth Management operations to mitigate operational, regulatory and conduct risks.
• Ensure operational activities comply with internal policies, regulatory requirements and established control standards.
• Investigate operational incidents, root causes and control weaknesses, implementing corrective actions where required.
• Support audits, reviews and regulatory examinations through accurate documentation, reporting and remediation tracking.

Operational Excellence & Process Improvement:

• Analyse operational performance data to identify opportunities for process simplification, automation and efficiency improvements.
• Lead continuous improvement initiatives that enhance productivity, reduce risk and improve service delivery outcomes.
• Establish and monitor key operational metrics, service indicators and management information to support decision-making.
• Drive adoption of standardised processes and best practices across Wealth Management Operations.

Stakeholder Management & Business Partnership:

• Partner with Wealth Management, Product, Technology, Risk and Compliance teams to support effective operational delivery.
• Provide operational insights and recommendations that inform service improvements, risk mitigation and business decisions.
• Facilitate governance forums, operational reviews and stakeholder discussions to drive accountability and action.
• Manage stakeholder expectations through clear communication, issue resolution and proactive engagement.

Change Delivery & Operational Readiness:

• Support implementation of new products, regulatory changes and strategic initiatives by assessing operational impacts and readiness requirements.
• Coordinate testing, process updates and operational transition activities to ensure successful implementation.
• Embed new controls, procedures and operating models to maintain operational effectiveness.
• Monitor post-implementation outcomes and address operational issues arising from change initiatives.

Skills and Experience:

Must-have Skills:

• Investment Management
• Account Reconciliation
• Custodial Services
• Governance, Risk, and Compliance (GRC)
• Mutual Funds
• Product Management
• Settlement Management
• Tax Management
• Financial Services
• Stakeholder Engagement
• Continuous Improvement
• Talent Development

Motivations:

• Driving operational excellence through process improvement, data-driven insights and scalable solutions that enhance client experience, service quality and risk management.
• Solving complex operational challenges by balancing client needs, regulatory requirements and stakeholder expectations while maintaining strong controls and service standards.
• Leading high-performing teams and change initiatives that build capability, strengthen operational resilience and support sustainable business growth.

Qualifications:

Key Experiences:

• Account opening process (End to End), digital and physical onboarding of Trading and Demat Account, checking, scrutiny, rectification in consultation with RM and onboarding in various system.
• Mapping / reporting of Unique Client Code (UCC) to Exchange portal and download of UCC response file of new and existing clients on modification.
• Experience managing Wealth Management, Private Banking, Investment Operations or related financial services operations.
• Experience overseeing client lifecycle, transaction processing, account servicing or investment operations activities.
• Demonstrated success implementing operational improvements, productivity enhancements or control strengthening initiatives.
• Experience managing operational risk, audit findings, regulatory requirements and remediation activities.
• Experience working with Front Office, Product, Technology, Risk and Compliance stakeholders in a matrixed environment.
• Proven ability to manage operational performance, service levels, governance forums and stakeholder expectations.
• Experience leading teams, developing talent and driving a culture of accountability and continuous improvement.

Certifications / Qualifications:

• Graduation, NISM certificate

Languages:

• Business English