Associate, Operations - MMLIS

Key Responsibilities

• Process account maintenance requests, new business applications, transfer paperwork, and related operational transactions.
• Review broker-dealer submissions for accuracy, completeness, and regulatory requirements.
• Identify and communicate Not-In-Good-Order (NIGO) cases to facilitate timely resolution.
• Accurately process and maintain client data within back-office systems.
• Review and process internal brokerage and advisory transfers.
• Administer money movement, investment, and withdrawal instructions in accordance with applicable policies and regulations.
• Research and resolve operational issues while maintaining service-level commitments.
• Apply root cause analysis techniques to identify and address process inefficiencies.
• Collaborate effectively with internal business partners and external stakeholders.
• Consistently achieve productivity, quality, and service goals.
• Leverage Microsoft Office applications, particularly Excel, Word, and PowerPoint, to support operational activities.
• Utilize VBA and Excel Macros where applicable to improve efficiency and reporting.
  
  

Required Qualifications

• Bachelor's degree or equivalent business experience.
• 4+ years of experience in financial services or a comparable operations environment.
• Strong analytical, organizational, and problem-solving skills.
• Excellent verbal and written communication skills.
• Proficiency in Microsoft Excel, Word, and PowerPoint.
• Knowledge of Excel Macros and VBA is preferred.
• Ability to identify improvement opportunities and drive process enhancements.
• Strong attention to detail with the ability to manage multiple priorities in a fast-paced environment.
• Sound logical reasoning and decision-making skills.
• Ability to work effectively under strict deadlines.
• Ability to successfully complete a Non-Registered Fingerprint (NRF) background check under FINRA requirements.
• Knowledge of:
• Registration types and brokerage account features
• Managed account attributes and billing processes
• Client onboarding and account maintenance activities
• Securities industry operations and back-office processing for non-retirement accounts
• Understanding of FINRA and SEC rules and regulations is preferred.
• Flexibility to work overtime and adjust schedules as business needs require.
  

Preferred Qualifications

• 4+ years of experience within the financial services industry.
• MBA or equivalent business qualification preferred.
• Experience supporting wealth management, brokerage, advisory, or transfer-of-assets operations.
• Knowledge of FINRA and SEC regulations.
• Experience working with operational controls, process improvements, and automation initiatives.
  
  

Compliance Requirements

As part of the Wealth Management Operations team, this role is subject to regulatory and supervisory requirements, including:

• Non-Registered Fingerprinting (NRF)
• Personal Trading Account Oversight
• Compliance and regulatory monitoring requirements
  
  

Work Timings

This position requires flexibility to work across regular, afternoon, and night shifts in India on either a permanent or rotational basis, depending on business requirements.