Specialist (Operations & Compliances)
Company Profile-
In a nutshell, Signzy makes regulatory processes for banks, NBFCs, and other financial institutions simple, secure, and compliant by providing onboarding solutions that can be used to perform extraction, verification, forgery detection, background checks, credit checks etc using Artificial Intelligence. Signzy’s unique solutions offer 75% cost reduction in customer onboarding and almost 3X increase in business efficiency.
Wayne Secure RTA Service Limited is a wholly owned subsidiary of Signzy Technologies, which shall function as Registrar and Transfer Agent (RTA) and Securities Transfer Agent (STA) under regulatory framework stipulated by Security and Exchange Board of India (SEBI). With the fundamentals in place by Signzy Technologies, we are now gearing up for our next phase of high growth, and further providing building-up solutions to the next level of onboarding in the Investments space through RTA / STA Services by Wayne Secure.
Brief about the role-
Manage end-to-end operations involved in processing of the applications as well as maintain detailed records of the transactions of investors in compliance with applicable regulations
Monitoring unclear purchases and pending transactions report.
Supervised resolution of queries/complaints received from investors/ distributors/ internal stakeholders and across branches as well as ensure closure of complaints received from investors/ SEBI and the other stakeholders within the agreed TAT
Ensure daily reports such as DTR, High Value Transaction Redemption or switch, Distributor AUM, Call Center Report, Branch AUM report are shared with the respective recipients.
Follow ups to be taken for NCT pending as per second and third level escalation and DC reject cases.
Actively involvement in NFO Process includes designing forms; activating online platforms for fresh purchase and communication to the investors/ brokers.
Liaison with CDSL/NSDL for listing new and roll-over schemes on the BSE/ NSE platform.
Working on reports which needs to be shared with compliance to report it to SEBI/ AMFI/ FIU
Working on CKYC projects which includes uploading, preparing txt files, generating response files, etc.
Client servicing for portfolio management services.
Monitoring Sales, Institution and RTA operations mailbox.
Co-ordination for resolution of all type of queries at escalation level
Manage, control and monitor end-to-end RTA processes while ensure processing of documents in line with industry standards while simultaneously improving internal controls to suit the business specific requirements
Creation of systems and SOPs for entire operations to reduce TAT and increase productivity
Interacting with fund houses, understanding and documenting requirements
Desired Skills-
Ability to lead and independently manage the operational and compliance set-up in relation to RTA and/or STA services.
Good technical, operational and compliance knowledge pertaining to the functioning of RTA and/or STA.
Possess a highly solution oriented and business focused approach and always play an enabling role for growth of business.
Ability to understand business requirements and how this would translate to requirements from the legal team.
Be as ambitious as we are, and hence willing to travel, go out of her / his way to build at the highest quality, to meet goals and deadlines.
Posses acumen to understand the commercial, operational and structural aspects of products and services, to effectively implement such learning.
اطلب مساعدة الخبراء لكتابة سيرة ذاتية مميزة.