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Transfer Agency

Mumbai, Maharashtra

Yellow Box HR Services

Job Description

Profile : Transfer Agency

Designation : Manager

Experience : 6 - 12 Years

Location : Vikhroli , Mumbai

Primary Responsibilities:

Day to day management of Dealing and Box Management team, ensuring the tasks are carried out as prescribed and within regulatory guidelines, namely:
Telephone, fax, e-mail, postal instructions to purchase or redeem units/shares in Unit Trusts or OEICS.
PEP and ISA sales and repurchases and transfers-in and out.
Update and maintain electronic trade and confirmation systems.
Vetting, creating and checking of investors applications.
Processing of investors dealing instructions.
Production of notifications to trustees/depositaries in the specified timeframes.
Daily unit reconciliations, investigations and amendments.
Regular team meetings and reporting to Manager.
Provide information to investors/IFAs on request.
Provide a contact point and/or assistance with queries from Clients, Investors/IFAs and key contacts.
To develop and maintain positive working relationships with Clients, Investors/IFAs and key contacts.
Produce monthly KPI and MI information to Senior Management.
Maintain department procedures in accordance with regulatory requirements, SLAs, best practice and Company policies.
Maintain departmental Risk Register.
Respond to Dealing Reviews and arrange training/remedial action where necessary.
Be involved in Compliance Visits.
Liaise with Managers within Retail Operations to bring about positive change within the Department.
Identify and resolve instances of non-compliance and refer to the Senior Manager, Retail Operations and the Compliance Department.
Carry out recruitment for the Department, staff appraisals, monitoring, performance and absence management meetings where necessary.
Maintain staff training and competence standards.
Create and maintain effective working relationships with colleagues and assist other areas of the business as and when required.
Maintain an awareness and understanding of the investment industry.
Maintain own professional competence.
For areas of responsibility, ensure:
oEmerging risks are identified, assessed and captured within the departmental risk register and, where appropriate, subject to escalation to senior management.
oOperational controls are carried out in accordance with the laid down business policies and procedures.
oActions for control improvements are dealt with in accordance with agreed timescales
oProactivity in identifying areas for control improvement
For Registrations / Settlement Administration

Maintain department procedures in accordance with regulatory
requirements, SLAs, best practice and Company policies
Provide a contact point and/or assistance with queries from Clients, Investors/IFAs and key contacts
Identify instances of non-compliance and refer to the Senior Manager, Director of Retail Operations and the Compliance Department, and resolve them
Maintain staff training and competence standards
To develop and maintain positive working relationships with Clients, Investors/IFAs and key contacts
Create and maintain effective working relationships with colleagues and assist other areas of the business as and when required
Maintain an awareness and understanding of the investment industry
Maintain own professional competence
Carry out / oversee the following areas for compliance, completeness and accuracy:
Creation, Editing and registration of investors records
Processing of investor requests
Provide information to investors/IFAs on request
Oversee efficient repurchase settlement
Resolving complaints and solving problems on behalf of investors/IFAs
Assisting the Senior Manager respond to Registrations & Settlements Reviews and Compliance Visits
Liaise with the Manager and Assistant Manager within Retail Operations and wider business to bring about positive change within the Department
Distribution of daily workload to team

Company Description

A leading HR consultancy in India.

Additional Information

Last updated:
28/05/2018
Job type:
Full time
Position type:
Permanent
Vacancies:
1
Minimum experience:
Between five and ten years
Education:
Compulsory Education
Salary range:
₹ 5,00,000 - ₹ 13,00,000 / Yearly (Gross Pay)
Category:
Jobs in Banking / Financial Services
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