Associate Vice President (AVP) RTA Equity & Debt Operations
Position Summary
The Associate Vice President (AVP) Equity & Debt Operations is responsible for leading and managing end-to-end Registrar & Transfer Agent (RTA) operations for equity shares, debentures, bonds, commercial papers, and other securities. The role ensures regulatory compliance, operational excellence, client service delivery, technology transformation, risk management, and business growth while maintaining service levels and stakeholder satisfaction.
Reporting To:
Key Responsibilities
1. Equity Operations Management
- Oversee end-to-end shareholder servicing activities.
- Manage share transfers, transmission, transposition, duplicate certificates, dematerialization/rematerialization, nomination, and investor queries.
- Ensure compliance with SEBI, Companies Act, NSDL, and CDSL regulations.
- Monitor operational KPIs, SLAs, and turnaround times.
2. Debt Operations Management
- Manage servicing of debentures, bonds, NCDs, commercial papers, and other debt instruments.
- Oversee interest payments, redemption processing, investor record management, and compliance reporting.
- Coordinate with issuers, trustees, depositories, and bankers.
- Ensure timely execution of corporate actions and debt servicing commitments.
3. IPO and Rights Issue management
- Drive the design and development of technology solutions for IPOs & Rights Issues
- Lead end-to-end execution of IPOs, FPOs, Rights Issues, Offer for Sale (OFS), Buybacks, and other primary market activities.
- Coordinate with Issuers, Merchant Bankers, Stock Exchanges, Depositories (NSDL/CDSL), Bankers to the Issue, and Regulators for smooth transaction processing.
- Oversee application processing, reconciliation, basis of allotment, share credit, refund/unblocking activities, and investor communication.
- Ensure timely listing and compliance with SEBI, Stock Exchange, and Companies Act requirements.
4. Corporate Actions & Issue Management
- Supervise dividend, interest, redemption, bonus, rights, split, consolidation, and buyback activities.
- Lead IPOs, rights issues, QIPs, preferential allotments, and debt issuances.
- Coordinate with merchant bankers, issuers, stock exchanges, and regulators.
5. Regulatory & Compliance Oversight
- Ensure adherence to:
- SEBI (RTA) Regulations
- SEBI LODR Regulations
- Companies Act, 2013
- Depository Regulations
- IEPF Rules
- Cybersecurity and Data Privacy Guidelines
- Manage internal, statutory, SEBI, and client audits.
- Drive closure of audit observations and regulatory findings.
6. Client Relationship Management
- Act as the primary escalation point for key clients.
- Conduct governance reviews and operational review meetings.
- Identify opportunities for cross-selling and expanding services.
- Ensure high client satisfaction and retention.
7. Team Leadership & People Management
- Lead and develop operations managers and functional teams.
- Drive productivity, employee engagement, and capability building.
- Establish succession planning and leadership development programs.
- Define KRAs and performance metrics for teams.
8. Risk Management & Controls
- Establish robust operational controls and risk mitigation frameworks.
- Monitor exception reports and process deviations.
- Ensure business continuity and disaster recovery readiness.
- Drive fraud prevention and data security initiatives.
9. Technology & Process Transformation
- Lead automation, digitization, and workflow optimization initiatives.
- Partner with technology teams on system enhancements and migrations.
- Implement AI/analytics-driven operational efficiencies.
- Improve operational scalability and customer experience.
10. MIS & Governance
- Present business updates to senior leadership.
- Monitor revenue, productivity, compliance, and service metrics.
- Prepare board-level dashboards and management reports.
- Support strategic planning and business growth initiatives.
Please share your CVs on vishal.jaiswal@3i-infotech.com
Call - 9987976210
