Team Leader/Manager - Dealing/Registration/KYC/AML - Bank

Role: Team Leader / Manager

Location: Bangalore

Experience: 6 -13 years

Skills: Subscription, Registration, Redemption, Dealing, KYC, AML

JOB DESCRIPTION:

The department is responsible for client processing and quality checking of transactions and updating the registers of our clients- mutual funds in response to investor instructions. This role is for day to day oversight/supervision of the processing of this work.

PRINCIPAL RESPONSIBILITIES:

- Supervise the processing and quality checking of a wide range of dealing transactions through our systems, to regulatory and client standards.

- Ensuring that the team's work is completed to deadlines.

- Manage review queues and mailboxes and ensure that questions and/or escalated issues are addressed promptly ensuring that any outstanding issues are followed through to resolution.

- Monitors and reports on various fund transactions. Makes recommendations to manager on procedure changes.

- Resolving any identified audit or regulatory issues within the agreed time frame.

- Partner performance is monitored and feedback is provided through monthly one to one meetings

- Engenders close working relationships with other areas, such as the Home Location and Finance departments.

- Ensure all internal and external errors are documented in error tracker with proper description and incidents raised in timely manner.

- To facilitate regular team meetings.

- To work with the Manager and Group projects area on any allocated Client projects.

- Fulfill additional, relevant, tasks appropriate to the role and business requirements.

- Escalation point for unresolved issues to the Bangalore TA team

- Set partner objectives and monitors these and provides feedback through monthly one to one meetings

- Provides management and guidance to staff, fostering an environment which encourages employee participation, teamwork, and communication.

ACCOUNTABILITY :

- Employees are required to comply with the regulatory regime in which the organization operates as appropriate to the above role.

- Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled.

- Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties.

RELATIONSHIPS

- Internal Key Stakeholders

- Relationship Managers

- Management Team

- Internal Clients

- UK Transfer Agency

QUALIFICATION/ SKILLS :

- Demonstrate a good understanding of Dealing, Registration and Finance.

- Demonstrate a detailed working knowledge of the dealing and registration processes

- Experience of taking leadership of processes or people

- Attention to detail and strong accuracy

- Ability to use Excel and Word competently

- Analytical skills are required to research and resolve enquiries

- Client Service experience, preferably gained in an investment administration environment

- Knowledge and understanding of FSA / HMRC regulatory environment.

Interested candidates can apply with their updated CVs or can also contact on- 020-65100882