Supervise the daily operations of the regional headquarters and the attached branches. Coordinate with other sub functions of TA and other departments to resolve the investor related issues. Ensure that the standard terms of service offering are met at all three levels viz., a. investors, b. distributors, and c. internal customer. Recruit, coach and manage the performance of individual team members. Improve daily processes and procedures; support and implement change; and through communication, guide the team towards achieving company goals. Ensure the regulations are complied with strictly in terms of operations and customer service. Fulfill customer expectations. Handle other projects as delegated by the manager
Roles and Responsibilities:
Ensure seamless transaction processing
Monitor workflow and resources to ensure that agreed service and quality levels are met including during times of spike in volumes
Review and where necessary suggest changes to enhance the operational processes and increase efficiency of the processing units
Ensure regulatory norms are complied with during processing
Monitor industry changes affecting business processes and practices and raise for discussion with team
Manage the daily operating metrics of the Operations unit including cost per account, productivity, headcount, error rates and other key metrics of the Operations Unit.
Review MIS of teams to study performance and suggest methods/new processes to improve the same
Manage all types of audit statutory, internal, SEBI and others
Work closely to ensure qualifications are rectified and processes put in place to avoid repetition
Ensure facilitation of BCP related drills and call trees
Support and ensure implementation of all regulatory changes within stipulated time frames
Responsible for identification and facilitation of special projects as may be assigned. Ensure all project activities are completed on time.
Manage and allot resources such that project activities are completed within affecting BAU
Manage and maintain good relationship with vendors and business partners
Monitor the progress of vendor and adherence to the contract
Motivate team to perform with continuous improvement and service excellence
Development of Second line and succession planning
Plan and prepare Annual Goals and monitor Progress
Ensure timely communication of information to team
Ensure Job rotation within team heads
Identify training needs and partner with TAA to ensure delivery
Assign and monitor work of direct reportees and provide timely guidance and feedback.
Communicate with and influence internal and external stakeholders regarding key deliverables/new processes and take steps to ensure buy-in.
Share knowledge among team members
Focus on team member development, which includes: coaching and counseling, mentoring, personal development, empowering, succession planning etc
Effectively handle conflicts among team members
Adherence to Group policies, audit, controls, and compliance requirements including but not limited to normal controls
To continually assess the operational risks inherent in the processes, taking account of changing operating procedures, staff movements, legal and regulatory requirements, management restructures, and the impact of new technology.
Has immaculate Telephone etiquette
Continuously look for ways and means to improve processes and controls thereby improving efficiency
Is quick to think and is creative in problem resolution
Provides one step resolution by taking grounded decisions within authority levels
Ensure resolution of business partner queries within set TATs
Manage the service delivery to accounting and Treasury services as per the Service Level
Enhance the SLA as required with feedback from Sales and Customer Service, and based on market conditions
Ensure that Investor complaints and queries are resolved in a speedy manner to enhance customer satisfaction where these relate to the Operations of the company
Provides inputs for the senior management team to Co-ordinate with legal and compliance to ensure transactions are within the prescribed SEBI and AMFI regulations and guidelines
Facilitates the MIS churn for required by the compliance department
Ensure system requirements of the teams are captured, documented, tested and implemented
Provides inputs for seamless integration of IT ops integration
Ensure compliance with Regulatory requirements
Ensure various return (monthly, quarterly, bi-annual and annual) filed before the due date
Support and ensure implementation of all regulatory changes within stipulated time frames.