Assistant Manager - Knowledge Services

Role Overview: You will be responsible for managing the Compliance Legal Services Team in Pune and Bangalore, overseeing approximately 50 resources (UM & Agents) and reporting to the AVP. Your role involves independently leading and managing day-to-day operations, process management, people management, client and internal stakeholder relationship management, audits & compliance. It is essential to have knowledge of the US Financial Market and their associated Regulator Bodies. You will play a crucial role in continuous process improvement, building relationships with the business, managing ad hoc project work, and serving as the point of contact for clients and internal stakeholders. Additionally, you will manage a diverse team across multiple locations, languages, and cultures while providing leadership and guidance in team building. Flexibility to work US shift timings is required. Key Responsibilities: - Independently lead & manage day-to-day operations of the Compliance Legal Services Team - Manage process and people effectively - Build and maintain client and internal stakeholder relationships - Ensure audits & compliance requirements are met - Conduct RCA and implement mitigation plans - Contribute to continuous improvement of reporting processes - Manage ad hoc project work for clients - Serve as the primary point of contact for clients and internal stakeholders - Lead and guide team members in diverse locations - Provide leadership in team building efforts - Be flexible to work US shift timings Qualifications Required: - Hands-on experience in US Brokerage industry/Capital Market operations - Experience in compliance department of a financial brokerage firm - Knowledge of AML/KYC procedures - Strong people management skills and issue resolution abilities - Excellent client-facing capabilities and relationship management skills - Proficient in written and verbal English communication - Networking skills - Analytical and forward-thinking mindset - Experience in resource management - Willingness to travel between locations for business purposes - Previous experience in running process improvement and Six Sigma projects No additional details of the company were provided in the job description.,