Senior Wealth Management Ops

The Role Purpose of Manager for the Trade Operations and Settlement, KYC, and Regulatory Reporting in Broking Operations is to oversee the end-to-end post-trade lifecycle, ensure flawless settlement of trades, and maintain strict compliance with regulatory frameworks and Client Due Diligence (KYC) standards.

This role bridges operational efficiency and risk management, protecting the broker-dealer from financial, operational, and regulatory penalties while ensuring a seamless trading experience for institutional or retail clients.

Key Responsibilities:

• The Job Holder's responsibilities extend to manage and oversee processing of Trade Settlement, KYC, Internal / External Audit, Exchange Inspection, UAT activities
• Well versed with KRA/ CKYC registration process and the requirements for Individuals & Non-Individuals
• Well versed with current KYC Norms / CDD Procedures/ Regulatory guidelines
• Handled Client onboarding & Account Management - Account opening process (End to End) for Individual & Corporate, FII, DI etc clients of Retail Broking 3in1, NDPMS HDFC Bank- Custodian for Bank & Demat Account with proper validation of Client document
• Digital & Physical onboarding of Account, checking, Scrutiny, rectification in consultation with RM and onboarding in various system.
• Co-ordination with SCB KYC & HDFC KYC team.
• Ensure strict adherence to SEBI, AML/ PMLA (Prevention of Money Laundering Act), and FATCA guideline, CYC
• Ensure Verification of Tariffed mapped in various System with Client Tariff signed sheet.
• Ensure Mapping / reporting of Unique Client Code (UCC) to Exchange portal i.e. BSE, NSE, BSE MF & Download of UCC response of new & existing clients on modification.
• Set up NDPMS accounts in Back-office LD / Wealth Spectrum, Front office
• Ensure timely Client Communication in Digital / Physical
• Co-ordinating within team & MIS reporting to management
• Ensure mapping in CTCL / IML / NEAT / TWS for dealers
• Perform the UAT testing of BAU, Regulatory changes, System Enhancement and engage with Frontline and Vendors for Changes.
• 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.
• To immediately bring to notice of the management any deviation, breach, concern, whenever applicable
• Familiar with all relevant IT applications like LD, LDCCM, Miles, Wealth Spectrum, Rupee Seed DP Secure, DPM, CDAS. CTCL / Neat / IML / TWS etc
• To ensure timely responses to the Management, Seniors, other units, including managing stakeholders
• 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
• To oversee timely processing and response for Prohibitory/Attachment orders & Regulatory queries
• Good knowledge of MS-Excel and MS Office
• 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.

Key Impact:

• Ensures compliance with evolving regulatory requirements, preventing financial penalties or operational risks, Exchange regulations i.e. SEBI / NSE / BSE / Group
• Enhances operational efficiency through strong monitoring, data validation, and process standardization

People and Talent:

• Set direction and drive high performance by translating strategy into clear direction, aligning individual goals to team outcomes and providing regular, constructive feedback.
• Develop talent and capability through coaching and career conversations that build critical skills, stretch potential and prepare individuals for future opportunities.
• Lead by example by role-modelling the Bank's valued behaviours, upholding strong risk and conduct standards, exercising sound judgment, and creating an inclusive team culture that supports wellbeing, values diverse perspectives, and drives accountability.
• Ensured timely completion of job as per the current regulatory and company policies and procedure

Motivations:

• A deep professional satisfaction in achieving "zero-error" status at the end of a trading day.
• Knowing that their work directly protects the institution from catastrophic financial, legal, and reputational damage.
• A restless drive to make manual workflows faster, safer, and automated.

Skills and Experience:

• Action Oriented
• Customer Focus
• Manages Ambiguity
• Decision Quality
• Courage
• Drives Vision & Purpose
• Gives Clarity and Guidance
• Strategic Mindset
• Experience in Capital Market / Broking firm and knowledge of Exchange & SEBI regulations
• Any Graduate with more than 5 years, NISM certification VI & VII
• English, Hindi