Standard Chartered India | Spl'st, Wealth Management Ops

Responsibilities

• The Role Purpose of Manager for the Trade Operations and Settlement, KYC, and Regulatory Reporting in Broking Operations is to oversee the end-to-end post-trade lifecycle, ensure flawless settlement of trades, and maintain strict compliance with regulatory frameworks and Client Due Diligence (KYC) standards.
• This role bridges operational efficiency and risk management, protecting the broker-dealer from financial, operational, and regulatory penalties while ensuring a seamless trading experience for institutional or retail clients.
• The Job Holder’s responsibilities extend to manage and oversee processing of Trade Settlement, KYC, Internal / External Audit, Exchange Inspection, UAT activities
• Well versed with KRA/ CKYC registration process and the requirements for Individuals & Non-Individuals
• Handled Client onboarding & Account Management.
• Ensure strict adherence to SEBI, AML/ PMLA (Prevention of Money Laundering Act), and FATCA guideline, CYC.
• Ensure Verification of Tariffed mapped in various System with Client Tariff signed sheet.
• Ensure Mapping / reporting of Unique Client Code (UCC) to Exchange portal i.
• Set up NDPMS accounts in Back-office LD / Wealth Spectrum, Front office.
• Ensure timely Client Communication in Digital / Physical.
• Ensure mapping in CTCL / IML / NEAT / TWS for dealers.
• Perform the UAT testing of BAU, Regulatory changes, System Enhancement and engage with Frontline and Vendors for Changes.
• Manage & lead regulatory, Group, Internal, Statutory etc Audits.
• Ensure all the services are delivered to the agreed SLAs monitor, measures and report performance of services being delivered.
• Handle the job additionally assign by Line Manager from time to time.
• Ensures compliance with evolving regulatory requirements, preventing financial penalties or operational risks, Exchange regulations i.
• Develop talent and capability through coaching and career conversations that build critical skills, stretch potential and prepare individuals for future opportunities.
• Ensured timely completion of JOB as per the current regulatory and company policies and procedure.
• Ensuring & follow up compliance requirements, including SEBI reporting per guidelines.
• Take end to end responsibility of for all the regulatory compliance & logics built into the system.
• Set direction and drive high performance by translating strategy into clear direction, aligning individual goals to team outcomes and providing regular, constructive feedback.
• Knowing that their work directly protects the institution from catastrophic financial, legal, and reputational damage.

Requirements

• Strong focus on all Regulatory reporting and validation of the same with the checks and balances introduce to ensure accuracy.
• Familiar with all relevant IT applications like LD, LDCCM, Miles, Wealth Spectrum, Rupee Seed DP Secure, DPM, CDAS.
• Good knowledge of MS-Excel and MS Office.

Standard Chartered

Standard Chartered is an international banking group headquartered in London, with a strong focus on Asia, Africa and the Middle East. It was formed in 1969 through the merger of Standard Bank and The Chartered Bank.

Its Indian global business services centres hire finance professionals for financial control, stress testing, regulatory reporting, tax and risk roles.

• Industry: Banking and financial services
• Headquarters: London, UK
• In India: Present in India for over 150 years, with global business services centres in Bengaluru and Chennai