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Risk Operations Manager

Employer
PhonePe
Location
Bangalore (Division), Karnataka (IN)
Salary
Open to discussion
Closing date
Mar 24, 2024

View more

Job Function
Brokerage, Risk Management, Trading, Wealth Management
Industry Sector
Securities Exchange
Employment Type
Full Time

Role- Risk Ops Manager

Location- Bangalore

The Role Responsibilities

The Job Holder’s responsibilities extend to manage and oversee processing of Trade & Settlement of funds & securities, Third party product IPO, Advance Brokerage scheme, Company fixed deposit for Retail Broking, PMS, NRI Clients.

  Manage Account opening, modification, closure, transmission & non-individual account documents on daily basis for CCIB/BB/ PvB/Priority segments.

  Manage & oversee processing of Portfolio Management Schemes

  Manage & oversee all activities of operations as a second in command or line after Line Manager/Head Ops.

  Exclusive Focus on UAT of systems, Evaluation of Procedures to ensure wasteful process are eliminated and existing process are optimized.

  Strong focus on all Regulatory reporting and validation of the same with the checks and balances introduce to ensure accuracy. Take end to end responsibility of for all the regulatory compliance & logics built into the system.

  Built / Maintain /update tracker of all the issues observed during BAU with a view to improve processes by automation. This Roll requires high degree of independence, ability to quickly analyse issues / situations and get to the depth of the matter to resolve it.

 Manage & lead regulatory, Group, Internal, Statutory etc Audits  

Ensure all the services are delivered to the agreed SLAs monitor, measures and report performance of services being delivered.

To oversee and ensure processing within the timelines defined by Regulators, Group & Process notes

Ensuring completion of all Audits from Operation perspective in compliance

 Identifying the system requirement of new product development, Regulatory requirement, development, testing & system enhancements on timely basis

Coordinate with Technology / Vendor to implement the regulatory / client level delivery 

  To immediately bring to notice of the management any deviation, breach, concern, whenever applicable

To maintain high level of integrity

To remain vigilant and always oversee the activities of the team, with an eye for detail

 Oversee timely co-ordination with Auditors / Inspection team for Operations

Familiar with all relevant IT applications like LD,LDCCM, Miles, Omne TR, DP Secure, DPM, CDAS etc

Well versed with all laid down process requirements by SCB CDD, FCC, CCIB, PVB units

To ensure timely responses to the Management, Seniors, other units, including managing stakeholders

 To always ensure error free processing of all type of requests

To ensure compliance with the SEBI, Exchange, KYC standards and rules & regulations of the Company, the Group and all Regulators at all time

 To ensure that complaints and enquires are resolved as per defined turnaround time

 Well versed with KRA/ CKYC registration process and the requirements for Individuals & Non-Individuals

 To oversee timely processing and response for Prohibitory/Attachment orders & Regulatory queries

Good knowledge of MS-Excel and MS Office

 Well versed with current KYC Norms / CDD Procedures/ Regulatory guidelines

To publish all types of MIS and critical business reports to Senior Management and stakeholders

 Handle the job additionally assigned by Line Manager from time to time.

 

Regulatory & Business Conduct

Display exemplary conduct and live by the Group’s Values and Code of Conduct.

 Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.

Perform Team leader role diligently with integrity to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.]

Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Comply with SEBI, NSDL, CDSL, RBI and all other Regulatory guidelines & requirements at all times

 

 

 

 

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