Compliance Executive

Job Description

Provide inputs to product team for on-boarding requirements for mutual fund account opening Research various intermediaries for execution of mutual fund through API connectivity. Coordinate with various intermediaries involved in execution of mutual fund securities for integration and real time support. Develop, implement, and review operational policies and procedures. Ensure seamless operations of recording client data and advices Perform quality control of client data and advices disseminated to client Ensuring revenue assurance for the organisation by correctly calculating advisory fees and ensuring same are recovered from client as per defined frequencies. Liasoning with customer support, investment advisor and compliance for resolving customer complaints. Providing data for internal and external audits / regulatory inspections. Key Specification: Bachelor degree with 3+ years of experience in handling operations for financial service client especially mutual fund execution over digital platform NISM distribution certification Understanding of system architecture and database would be added advantage Ability to multi-task, prioritize, and manage time effectively Ability to deliver high-quality work under deadlines.