Broadridge - Investment Banking Operations Specialist

General Responsibilities

- Ability to learn new processes fast and be hands on daily processing tasks.

Process Management :

- Complete Process ownership. Manage deliveries as per set SLA benchmarks.

- Ensure daily process deliveries in accordance to set process controls and checks.

- Manage all requirements related new client onboarding.

- Implement process reviews as per defined department WSPs

- Supervise team performance through controls such as DFL Manager, Token / Medallion Tool etc.

- Create Risk Dashboards for the department and represent team in the weekly Risk / Ops meetings.

- Drive process improvements within the team to achieve better quality & productivity.

- Provide feedback to the team on errors, SLAs & Quality. Provide periodic escalation / updates to Manager on process performance of individual Associates & Leads.

- Ensure & maintain controls on process documentation, ensure that all updates are captured and recorded as received from the Client and cascaded to all the team members.

- Analyze errors (RCA / Pareto etc) to help improve overall quality standards. Analyze process steps to identify risk areas and build controls to help mitigate such risks.

People Management:

- Assess performance of team members against set targets, identify and highlight gaps (if any), provide constructive development feedback & identify individual development areas.

- Identify training needs based on the above and coordinate with HR / internal contacts to facilitate such training.

- Provide regular feedback to the Associates on Quality / Productivity and Overall Development.

- Conduct formal reviews within the team.

- Motivate associates to meet process and project goals. Foster positive environment within the team.

- Initiate and contribute to Associate Engagement efforts within the Group / BU.

- Drive team meetings

- Drive iFIT / ISO / ISMS / other org. initiatives within the team.

Client Management:

- Independently handle all correspondence with the Client - Client calls and email communication.

- Build relationships with Client contacts - Supervisors / Managers / Directors.

- Identify Client pain points and proactively initiate measure to mitigate and address such issues.

- Drive Client Survey Action plan within the team.

Day-to-day activities

- Operations / Transactions Processing (Self) & Review

- Process, People and Client Management