TA - Operations

What is the roles objective?

Brokerage: 

• Handling end-to-end brokerage processing for MF, AIF, GIFT City including review of brokerage structures, computation, and timely payouts, etc. within defined timelines.
• Analysis and verification of MIS reports sent to senior management.
• Handling foreign distributor payouts in foreign currency,  including coordination with distributors, banks, CAs, and supporting documentation.
• Facilitate brokerage-related data, reports, and MIS for internal teams, distributors, regulators, and audits.
• Coordinate with RTAs, banks, auditors, distributors, and internal stakeholders in line with SEBI / AMFI / IFSCA regulations, including handling queries and complaints.
• Handling GST, Invoice related reports/queries/data and RTA query resolution TATs.
• Review Bank account reconciliation of brokerage accounts maintained with various banks and resolve open items.
• Review internal brokerage audit reports, interact with auditors with complete knowledge of the brokerage function.
• Participate in system and process improvement initiatives to enhance efficiency and strengthen controls.
• Monitor KYC-related withheld brokerage and ensure timely fund movement and resolution.

• Support end-to-end dividend (IDCW) processing, including payouts to investors.
• Coordinate with Fund Accounting and Compliance teams to ensure timely and accurate dividend communication.
• Monitor RTA deliverables related to dividend processing and ensure adherence to resolution timelines.
• Handle investor queries related to dividends, TDS, statements, and payout discrepancies.
• Manage TDS-related MIS, data for quarterly TDS returns, issuance of certificates, and investor communication.
• Perform bank account reconciliations for dividend payout accounts.

• Liaise with the Transfer Agent for transaction processing, related operational activities, CKYC account related activities.
• Support investor and distributor onboarding in coordination with the Transfer Agent, including query handling.
• Assist in distributor onboarding, empanelment documentation, and commission structures in line with jurisdiction-specific requirements.
• Facilitate MIS, reports, and data requirements for internal teams, regulators, and audits related to GIFT City operations.
• Coordinate with fund platforms for onboarding and setup of DSP funds, ensuring adherence to IFSCA operational guidelines.
• Support day-to-day transaction processing and reporting in compliance with applicable IFSCA policies, procedures, and regulations.

What skills do you need to possess? 

• Strong understanding of transfer agency operations, brokerage structures, and investor/distributor query/complaint management
• Logical thinking with a strong attention to detail and process orientation.
• Good communication and interpersonal skills; ability to work effectively with cross-functional and external stakeholders.
• Ability to multitask, meet deadlines, and handle time-sensitive operational activities.
• Positive attitude and willingness to learn in a dynamic regulatory environment.
  
  What qualification you should have?
  Graduate / Postgraduate or equivalent degree