Klay Capital - AVP/Senior Manager - Broking/Securities Operations/Depository Operations

Background:

Hands on experience of setting up and handling operations in a Wealth Management Business setup for super HNI Clients with product lines covering Equity Broking, FnO, Equity PMS/ NDPMS, Debt PMS, Advisory, MF, Commodities, DP Operations. Should be well conversant and adaptable to regulatory changes and new product lines.

Roles & Responsibilities:

Business :

- Coordination with Exchange, AMC, Depository, Custodians for setting up and for resolution of any queries

- Integration of Back-office systems across the organization including CLASS, Wealth spectrum, Protector - RMS, ODIN and other software/ Applications that may be required for Equity and FnO trade process, DEBT, MF, Depository

- Ensuring timely fulfillment of Funds and securities obligation for all segments namely (Equity, Debt, MF any other TPD)

- Execution of DP transactions for Pay-in / Pay-out obligations/ Margin Pledge / Repledge process/ Collateral Management

- In Depth knowledge of NRI / FPI / AIF/ PMS regulations

- Experience in operations for Margin Trading Facility/SLBM is preferable

Customer Related:

- Ensuring that the transactions are processed & client portfolio is available on timely basis.

- Account opening of clients in various segments for seamless trading keeping AML/KYC in mind

- Resolving of Internal / External queries.

Compliance & Control:

- Ensuring compliance while processing transactions in Equity trades in terms of Statutory charges, Brokerage, Masters.

- Compliance adherence (Account opening, Trade execution) for all transaction execution across products.

- Following controls in segments in terms of Limits, Execution of trade.

- Success of audits & inspections both internal and external with no observations received in each

- Ensuring timely reporting

Learning and Growth, Values & Additional Responsibilities:

- Overall positivity and willingness to take on new responsibilities/challenges as set from time to time

- Make all reasonable efforts to keep abreast with developments in laws and regulations

- Assisting senior management with internal projects as assigned from time to time

- Accountability, Commitment, Teamwork

MIS & SOP:

- Sharing Daily MIS reports with management on completion of daily processes, Monitoring checklists and Resolution of queries within specified TAT

- Preparation of SOPs, BRDs, Process Notes, Customization, and Implementation of Software

Skill Set:

- Certifications in all NISM & Commodities modules preferable

- Timely settlement and reporting of trades for all Secondary & TPD products ensuring all compliance without any penalty or auctions

- Hands on with system implementation improvement & analysis of area of improvement.