Broadridge - Investment Banking Operations Specialist (8-11 yrs)
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