Investment Banking - Corporate Action Operations
Management Level - Associate Manager
Years of Experience:
10 to 14 years
Accenture is a global professional services company with leading capabilities in digital, cloud and security. Combining unmatched experience and specialized skills across more than 40 industries, we offer Strategy and Consulting, Technology and Operations services, and Accenture Song— all powered by the world’s largest network of Advanced Technology and Intelligent Operations centers. Our 699,000 people deliver on the promise of technology and human ingenuity every day, serving clients in more than 120 countries. We embrace the power of change to create value and shared success for our clients, people, shareholders, partners and communities.Visit us at
What would you do?
Creation of Client Investment Review and Portfolio View, Management of compliance document, Review of newly opened application forms, Trade Support, Collateral Management, Reconciliations and Corporate Actions
• Minimum 12 to 14 years of experience with Strong understanding of Wealth management Operations
• Have experience of leading Global Wealth Management team of 100 -120+ with strong expertise in running Brokerage and Fiduciary functions - broker dealer, Corporate Actions, Reconciliations, Account Opening / Maintenance / Closing, Asset Transfer, Cash Sweep, Account Conversion
• Good knowledge and working experience in equities & fixed income, money market, alternative investment, mutual fund, Insurance products for Global Markets
• Deep domain experience in managing Account Opening / Maintenance / Closing process within Brokerage and Fiduciary functions
• Sound understanding related to Customer on-boarding (customer account data and document maintenance) for Fiduciary and Brokerage,
• Sound understanding related to Collection, maintenance, reinvestment (i.e., sweeps) and disbursement of funds,
• Sound understanding related to Receipt and delivery of securities and funds, account transfers,
• Sound understanding related to Bank, custody, depository and firm account management and reconciliation,
• Sound understanding related to Settlement, fail control, buy-ins, segregation, possession and control,
• Sound understanding related to Trade confirmation and account statements,
• Sound understanding related to Margin,
• Sound understanding related to Stock loan/securities lending,
• Sound understanding related to Prime brokerage (services to other broker-dealers and financial institutions),
• Sound understanding related to Financial control, including general ledger and treasury,
• Contributing to the process of preparing and filing financial regulatory reports,
• Defining and approving business security requirements and policies for information technology, including but not limited to systems and data, in connection with the covered functions,
• Defining and approving information entitlement policies in connection with the covered functions; and
• Posting entries to a member's books and records in connection with the covered functions to ensure integrity and compliance with the federal securities laws and regulations and FINRA rules.
What are we looking for?
• Adaptable and flexible
• Ability to perform under pressure
• Problem-solving skills
• Detail orientation
• Ability to establish strong client relationship
• Capital Markets, Wealth Management, Investment Banking
• Analytical Thinking Communication / Presentation Skills Multi-tasking / Time Management Ability to Learn Leadership skills - Attended a training course on this skill and/or has had brief exposure to this skill. - Uses basic terminology in regard to the skill. - Recognizes and/or articulates basic concepts, facts, methods, techniques in day-to-day work experiences. - Moderate exposure to this skill and related work experiences. - Can assist other team members with questions and problems related to this skill - Applies skill (at basic level to work situations, with some guidance. - Extensive exposure to this skill and related work experiences. - Applies skill (at advanced level) to work situations with medium complexity, with little or no guidance. - May train and/or direct the work of others in application of skill. - Regarded as a center wide resource on this skill. - Applies detailed knowledge and skills to complex (or new) work situations in multiple settings. - Trains and/or directs work of other in complex facts, methods, and techniques related to the skill.
• Willing to work in night shifts (between
5.30pm IST to 3am IST)
• Willing to operate 100% from office
• Willing to work in Indian Holidays
Roles and Responsibilities
• The role holder is expected to transform and create a very “Client focused” and data driven efficient organization.
• Have experience of engaging in conversations with Clients, Advisors, Risk Officer and Business COO’s around redefining operating model, driving front office behavior, Business metrics and influencing client behavior
• Should have led and managed Operations transformation and change at scale including RPA, data analytics, workflow etc and have good track record of driving productivity and efficiency within the Organization.
• Good to have FINRA Series 99 certifications
• Strong understanding of various risks associated with Operational processes in this space
• Managing all operations function and ensure consistent SLA adherence
• Regular connect with stakeholders and apprise them of performance metrics. Leading governance calls with client and stake holders
• Ensuring all legal and governance documentation such as Standard Operation Procedure, Root Cause Analysis, etc are maintained
• Leading and overseeing all people management responsibilities such as hiring, training, engagement, rewards & promotions and performance feedback.
• Maintenance of all legal and governance documentations such as production, efficiency and SLA details
• Identification and drive implementation of technologies and process improvements tools
• Drive people engagement and fun activities within the team
• Planning for succession for all critical resource