48 Investment Operations Jobs

You should have experience in investment operations, specifically in managing asset servicing roles including setting up assets such as mutual funds and managing NAVs. Your responsibilities will include hands-on unit pricing functions, asset servicing tasks like asset set up, income batch processing, checking overnight daily processes, MMF reinvestment, and working knowledge of assets, bonds, equities, derivatives, income, capital, corporate actions, and data flows. It is crucial for you to retain knowledge and apply it in future scenarios. As a part of the minimum qualifications required for this role, you should hold a finance graduate degree.,

Role Description As a Senior Investment ops Manager at Incedo, you will be responsible for managing investment operations for clients. You will work with clients to understand their investment needs and manage operations that meet those needs. You will be skilled in investment management tasks such as portfolio management, trade processing, and performance measurement and have experience with investment management systems such as Bloomberg or Charles River. Roles & Responsibilities: Managing investment operations processes, including trade settlements, corporate actions, and cash management Ensuring compliance with regulatory requirements and internal policies Developing and maintaining investment operations documentation and policies Collaborating with other teams to implement process improvements Providing guidance and mentorship to junior Investment Ops Managers Staying up-to-date with industry trends and best practices in investment operations. Technologies involved may include trading platforms, custodian systems, and investment management software. Technical Skills Skills Requirements: Knowledge of investment products such as equities, bonds, and derivatives Experience in managing investment operations processes such as trade settlements, portfolio accounting, and corporate actions Familiarity with investment management systems such as Bloomberg, Reuters, or FactSet Understanding of investment performance reporting and analytics Must have excellent communication skills and be able to communicate complex technical information to non-technical stakeholders in a clear and concise manner. Must understand the company's long-term vision and align with it. Provide leadership, guidance, and support to team members, ensuring the successful completion of tasks, and promoting a positive work environment that fosters collaboration and productivity, taking responsibility of the whole team. Nice-to-have skills Qualifications 4-6 years of work experience in relevant field B.Tech/B.E/M.Tech or MCA degree from a reputed university. Computer science background is preferred

At EY, you'll have the opportunity to develop a career that is as unique as you are. With our global scale, support, inclusive culture, and cutting-edge technology, you'll have the resources to become the best version of yourself. We value your distinct voice and perspective, and we rely on them to help EY continuously improve. Join us to create an exceptional experience for yourself and contribute to building a better working world for all. As a Staff member, your responsibilities will include: - Understanding the intricacies of Funds and Fund-of-Fund investment operations, with a focus on Private Equity funds - Defining new procedures and controls to enhance operational risk processes - Delivering high-quality work within specified timeframes and budget constraints - Executing detailed procedures related to fund controllership, investment books and records, and financial reporting - Performing critical accounting activities such as capital calls, valuations, and transaction processing - Identifying and evaluating new technology opportunities for platform enablement and differentiators in WAM/BCM space - Facilitating conversations between Business and Technology to determine product features - Collaborating with business partners to identify process improvement areas and promote a culture of automation - Translating business requirements into scalable solution options and providing inputs to product roadmap/strategy Requirements for this role include: - 1-3 years of experience in the Asset Management sector, preferably with exposure to US-based firms - Familiarity with software tools like eFront, Investran, or other investment sub-ledger software - Experience in financial statement reporting and analysis - A Master's degree in accounting or finance, with an MBA or CA considered a plus - Strong understanding of fund accounting, expense reporting, tax reporting, asset types, and derivatives - Knowledge of financial instruments, banking/WAM domains, and US GAAP - Expertise in private equity funds, fund controllership, investment books and records, and fund accounting - Effective executive communication skills and experience presenting cross-functionally - Understanding of financial statements and applications used in the FA or reporting process - Familiarity with BRD would be advantageous At EY, our mission is to build a better working world by creating long-term value for clients, people, and society while fostering trust in the capital markets. Our diverse teams in over 150 countries leverage data and technology to provide assurance and support clients in growth, transformation, and operations across various sectors. With expertise in assurance, consulting, law, strategy, tax, and transactions, EY teams tackle complex issues by asking better questions to find innovative solutions for today's world.,

Hiring: Market Registration & Entity KYC Investment Management Operations (Mumbai, Hybrid) We are looking for an investment operations professional with 4-7 years of experience to join our team. Location : Mumbai (Hybrid) Laptop Provided for WFH Notice Period : Immediate to 30days Interview Mode : 1 Virtual, 1 In-Person Timings: 1:30pm 10:30pm Key Responsibilities: Oversee market opening & renewal for global jurisdictions (India, Indonesia, Egypt, Slovenia). Collaborate with investment teams, custodians, and compliance for seamless market entry. Track SEBI & global regulatory updates and ensure timely communication. Manage KYC documentation and counterparty requests. Must-Have Skills: Strong knowledge of investment operations (mutual funds). Project management & stakeholder coordination expertise. Ability to multitask and work with multiple teams. Good-to-Have: Experience with SEBI regulations & global market documentation.

Sr. Team Member - Investment operations: Job Responsibilities Fixed Income Derivatives and Hedge Accounting and Risk Management including derivative cashflow, counterparty coordination and margin management. Settlement of all investment Deals. Daily Liquidity and cash Management. Daily Pricing and ensuring NAV for ULIP funds. Ensuring timely and effective MIS / details, monthly Invest Factsheet. New Developments in SAP - Addressing day to day bottleneck for smooth functioning. Develop understanding of Investment Regulations and Investment Policy guidelines. SOPs updates and ensuring its implementation. Cash flow and settlement of deals at various platforms/markets. Review of various types of master in the Investment System along with data purification in Investment system. Education B.Com/MBA/CA Inter Experience 2 to 5 years of relevant work experience

Perform and manage daily corporate actions processing, ensuring timeliness and accuracy Act as first point of contact for corporate action event-related queries and clarifications Ensure data validation and completeness across all records Required Candidate profile Perform Quality Control (QC) checks as required Contribute actively to team meetings, huddles, and process improvement initiatives Plan and manage own workload Ensure delivery Perks and benefits Perks and Benefits

Execute and monitor trade booking, cancellations, modifications in internal systems Manage collateral and margin calls, reconciliations, and settlements Handle swap trades and confirm trades Ensure timely accurate settlement Liaise with depositories Required Candidate profile Manage complex transaction processing perform quality control checks Provide guidance training to junior associates and ensure operational excellence Collaborate with trading desks middle office Perks and benefits Perks and Benefits

Roles and Responsibilities Maintain confidentiality and adhere to company policies. Collaborate with team members to achieve common goals and objectives. Ensure accurate and timely completion of tasks related to data entry operation, data maintenance, and backend support. Provide support to various departments such as shipping operations, inventory management, customer operations, investment operations, and backend processes. Manage back office operations, ensuring efficient data entry, maintenance, and processing. Desired Candidate Profile 0-5 years of experience in back office operations or a related field. Proficiency in data entry operation, data maintenance, and backend processing. Strong understanding of shipping operations, inventory management, customer operations, investment operations, and backend processes. Key Responsibilities: 1. Order Management: - Process and fulfill customer orders accurately and promptly. - Handle the logistic processing of each order right from booking the courier to handing over to the packaging team 2 .Inventory Management: - Track and manage inventory levels, ensuring that stock is updated and accurate. - Conduct regular stock audits and address any discrepancies. 3. Administrative Support : - Perform various administrative tasks such as filing, data entry, and correspondence. - Assist in preparing and managing documentation related to operations and compliance. - Support the operations team in implementing process improvements and efficiencies. 4. Compliance and Reporting: - Ensure compliance with company policies, industry regulations, and data protection laws. - Prepare and present regular reports on key metrics and performance indicators. - Assist in audits and assessments as required. 5. Co-ordination with the logistics Team: - Co-ordinating with the logistics team to ensure daily pickup of parcels - Co-ordinating and escalating any delays with the logistics team 6. Inter Team Co-ordination: -Co-ordinating with various teams in the company and updating them on any queries that they might have.

You should have experience in Investment operations, specifically in Asset servicing role which involves setting up Assets like Mutual funds, managing NAVs, and performing hands-on Unit pricing function. You must possess Asset Servicing experience and be familiar with key tasks such as Asset set up, Income Batch Processing, Checking overnight daily process, MMF Reinvestment, and have a working knowledge of Assets, Bonds, Equities, Derivatives, Income and capital, corporate actions, and data flows. It is essential to retain knowledge and apply it in future scenarios related to Asset set up, Income Batch Processing, Checking overnight daily process, MMF Reinvestment, Unit Pricing, and Pricing. To be eligible for this position, the minimum qualification required is a Finance Graduate.,

You will be part of a team that values integrity and transparency, working in a culture that is passionate about our craft, our clients, and building sustainable success. As investors, we span traditional and alternative markets offering products and services. As advisors, we understand our clients" priorities and provide investment advice and strategies that make sense for their portfolios. We are thought leaders, providing timely insights across macro and secular themes to inform our clients" investment decisions. As innovators, we use digital solutions to help clients tackle complex challenges and achieve their financial goals. The Asset & Wealth Management Strategic Transformation Office oversees comprehensive large-scale transformations, aiming to enhance scalability, drive revenue growth, improve client experience, and elevate controls to optimize the operating platform. This role collaborates with leadership across investment teams, sales & distribution, operations, and technology to deliver a robust strategy that ensures a competitive advantage and addresses internal stakeholders" and clients" needs. As a Product Manager, you will develop the product strategy and roadmap based on a deep understanding of business drivers, competition, and stakeholder needs. You will own the entire product lifecycle, from ideation to launch and beyond, including feature prioritization, release planning, and ongoing product maintenance. You will work with a team of product managers to identify cross-product opportunities and ensure all problems are considered within the context of the target state product architecture. Additionally, you will design and monitor business metrics related to product usage, adoption, and client satisfaction. To be successful in this role, you must have proven experience influencing cross-functional teams, excellent written and verbal communication skills, the ability to work independently, and experience leading the definition of requirements and test cases for Engineering and QA. You should also be able to partner and drive results with third-party vendors and solve business solutions at scale with technology. Qualifications: - 10+ years of product management experience within the financial services industry, preferably asset management or operational platforms - Masters or Bachelors degree in relevant fields preferred - Experience with financial instruments and products, investment operations, and portfolio accounting - Proficiency in collaborating with technical teams and translating technical concepts to non-technical stakeholders - Experience working with cross-functional teams, managing complex projects, and delivering software solutions on schedule and within budget Experience That Will Help You Thrive: - Client and product mindset with experience proposing products and features - Creative leader with an analytical mindset - Ability to rationalize ambiguous, open-ended problems and establish plans for progression - Understanding of distributed systems and scaling systems to handle increasing business volumes - Experience with Scrum Product Owner responsibilities and advocating for best practices in system design,

About this role: Wells Fargo is seeking an Institutional Investment Operations Specialist. In this role, you will: Participate in lifecycle support tasks for institutional trade initiatives and identify opportunity for process improvements Assist leadership in bringing individual or teams together in order to resolve complex issues Assist in client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issue Provide subject matter expertise on projects along with internal and industry related initiatives Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Perform due diligence on Forms W-8 and W-9 received from customers, account holders, or other payees. Ensure identify and document the tax residency and classification of customers, account holders, and other payees to correctly apply the applicable tax withholding and information reporting requirements Identify and resolve discrepancies or incomplete information promptly. Record verified details and outcomes of the due diligence in the System of Records (SoR) with precision and maintain a track of all requests within agreed Service Level Agreement (SLA). Follow confidentiality and data protection standards during all interactions and adhere to organizations policies, regulatory requirements and quality standards. Strong Knowledge on US Tax regulations Identifies and highlight/escalate potential risk arising within process. Excellent Interpersonal skills ability to build relationships. Oversee BAU and identify process enhancement opportunities Support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture Work with other Client Data teams to effectively manage and process client data requests Develop strong working relationships with Stakeholders, Sales, Compliance, other onboarding teams Ensure and Adhere to the regulations, standards, policies and procedures Become a risk manager by ensuring data integrity and challenging where required Provide reporting to senior leadership and produce insightful analyses of the business upon request for management Required Qualifications: 2+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education. Excellent communication skills both written and verbal Bachelor's degree in Accounting, Finance, or a business-related field is strongly preferred Previous experience in Operations and/or Financial Services industry - Relevant work experience of 2+ years in one or a combination of the following: Tax Operations, Back office, middle office, business operations, & compliance and client onboarding within Corporate Investment Banking or Wealth Investment Management. Knowledge and understanding of Excel, PowerPoint, Word Ability to research, compile, and perform complex analysis on critical operational data Be highly collaborative and team-oriented Demonstrate strong analytical and interpersonal skills Ability to work with impacted areas to understand complex problems Ability to work in a fast-paced, team oriented environment. Strong multi-tasking abilities in a high performance, high demand environment Ability to think strategically, drive consensus and influence decision making Desired Qualification: Strong knowledge of TAX Regulations (FATCA, CRS). Advance knowledge on different type of TAX forms (W8, W9) & data validation. Strong knowledge on withholding statement & calculation Ability to independently research and analyze financial documents Ability to understand and work with data, including creating alignment among various data sources, developing trends, and creating risk-based analytics from multiple information sources. Knowledge of client on-boarding and Trade Life-Cycle Strong analytic ability, with high attention to detail, accuracy and strong problem solving skills Ability to communicate (written/verbal) effectively at all organizational levels Ability to plan and organize workload within tight deadlines, meeting day-to-day objectives as well as longer term strategic goals Perform analysis of, and make recommendations on functionality/efficiency of established controls and processes to ensure appropriate risk based operational procedures are in place and are meeting regulatory requirements/expectations Process Overview - Operations is responsible for end-to-end client data strategy, data connectivity, data integrity and reporting. We act as data steward for core client & related data elements. It also supports maintaining client data and lifecycle space through system integration, data validation, automation and instituting Lean workflow principles. In addition, provides strategy across the maintenance space that focuses on enhancing existing processes while mitigating risk and leveraging vendor solutions, where applicable. Our teams work closely across the firm to develop and deliver new products and services, while mitigating operational risk and enhancing the client experience. We drive process and technology change to scale and automate our businesses. To summarize, for every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow. About the Role - The Operations Shared Services team is a cross-functional group of teams that provide support for Reference Data as well as the broader Wells Fargo organization. The Shared Services organization aims to be the owners and stewards of both client and product data with a focus on operational excellence and superior client servicing. The Tax Operations team ensures that CIB is compliant with the Global Tax Information Reporting Policy and Internal Revenue Service (IRS) regulations for information reporting, withholding and documentation for CIB Markets clients. Team member must correctly identify and document the tax residency and classification of customers, account holders, and other payees to correctly apply the applicable tax withholding and information reporting requirements. In addition, the team member must perform due diligence on Forms W-8 and W-9 received from customers, account holders, or other payees. Team member will also drive initiatives and provide solutions that will have an impact on client experience and risk mitigation.

: Job Title DWS Corporate Actions - Operations Specialist, AS Location Pune, India Role Description Operations is responsible for driving the planning and the day-to-day management of the business to align with the bank's mission and strategic goals. Operations set the direction and manage performance to bank targets with a focus on continual performance improvement. Work includes: Identifying and prioritizing product and service improvement opportunities and creating plans for implementation Utilising comprehensive knowledge of the company's internal operations to develop forward-looking focus for business Supporting bank strategy, proactively identifying and managing areas of risk Maintaining relationships with relevant internal and external stakeholders including regulators, market vendors and internal divisions Communicating changes to operational requirements and their impact on relevant processes and controls The Portfolio Services department is a core Investment Operations unit within DWS covering services for funds and mandates across global asset classes. Teams within the Portfolio Services unit perform processing and oversight duties of Proxy Voting, Corporate Actions, and Class Actions activities on behalf of DWS products in scope. Furthermore, the area is responsible for any Collateral Management and Securities Lending & Repo related activities. Portfolio Services team members actively collaborate with other global teams across DWS (Trade Operations, Portfolio Management, Legal, Compliance, et al.) in pursuit of operational enhancements and the fulfilment of business objectives laid out by management and the investment platform. We invite you to grow with us in a dynamic environment, to become an important part of the Portfolio Services department and make a decisive contribution to the global success of our organization. The Corporate Actions Operations Specialist is responsible for a timely, complete, and accurate processing of a variety of tasks as described in your key responsibilities. What well offer you 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Accident and Term life Insurance Your key responsibilities The Corporate Actions Operations Specialist is responsible for a timely, complete, and accurate processing of tasks such as the following: Event setup of all types and forms of Voluntary Corporate Actions Data collection including data verification to confirm validity against various sources Cooperation with global custodians and other service providers Communication and cooperation with Portfolio Management Application of business strategies and goals of various product and business lines in compliance with all internal and external regulations / guidelines as well as the agreed SLAs, KRIs and KPIs Contribution to the development and implementation of solutions for monitoring and reducing risks Proactive in the design and implementation of strategies to ensure continuous process improvement Contribution to monthly reporting Next to a leading role in BAU support and independently work on diverse initiatives Your skills and experience Bachelor degree in Economics or related field or equivalent experience PreferredExperience in the field of Corporate Actions within Asset Management Strong communication (written and verbal) in English and interpersonal skills A learning mind-set, ready to experience new ideas and situations regularly Practical experience with internal and external Service Providers Highly organized with the ability to prioritize and track multiple tasks to successful completion Open-mindedness and the ability to share information and provide expertise and competence within the team A high degree of own-initiative, self-confident in decision-making How well support you About us and our teams Please visit our company website for further information: https://www.db.com/company/company.htm We at DWS are committed to creating a diverse and inclusive workplace, one that embraces dialogue and diverse views, and treats everyone fairly to drive a high-performance culture. The value we create for our clients and investors is based on our ability to bring together various perspectives from all over the world and from different backgrounds. It is our experience that teams perform better and deliver improved outcomes when they are able to incorporate a wide range of perspectives. We call this #ConnectingTheDots.

Job Title: Senior Finance / Accounts Manager - Single Family Office Location: Bangalore, India Reporting To: CIO/Family Office Head Type: Full-time | On-site Experience: 3-5 years Qualifications CA Inter / MBA/ M.Com / B.Com • 3-5 years of experience in accounting, taxation, and compliance Hands-on with Tally ERP, GST, TDS, banking, and payment processing About the Family Office We are a privately managed Single Family Office overseeing a diversified portfolio that includes rental-yielding real estate, Direct Equities, Mutual Funds, PMS, AIFs, Bonds, REITs/InvITs, and Global Investments. Role Overview We are seeking a dependable and detail-oriented Senior Finance & Accounts Manager to manage day-to-day accounting, tax compliance, vendor payments, and investment documentation. The role requires ownership of books across entities, ensuring all financial and compliance activities are accurate, timely, and well-documented. Key Responsibilities Accounting & Bookkeeping (Tally ERP) Maintain books of accounts for Pvt Ltd companies and family members using Tally ERP • Record all income, expenses, inter-entity transfers, and investment transactions accurately. Handle monthly bank, credit card, and inter-company reconciliations • Prepare trial balances, P&L, and Balance Sheets for internal review Tax & Statutory Compliance File monthly GST returns and manage GSTR-1 and GSTR-3B • Handle quarterly TDS filing • Track and pay advance taxes, support annual ITR coordination • Liaise with external CA firms for audits and tax filings • Coordinate with Company Secretary for ROC filings and statutory records Payments & Expense Management Process vendor and service provider payments through online banking/offline channels Maintain expense tracker for recurring bills and subscriptions Ensure all disbursements are supported by proper invoices and approval trails Investment Documentation & Onboarding Manage KYC, onboarding, and documentation for new investments in: Mutual Funds, PMS, AIFs, Equities, ETFs, Bonds Coordinate with fund managers, brokers, and platforms for: o Account opening forms, FATCA, CRS, POAs, nominee forms Maintain signed agreements, statements, and onboarding packs Ensure timely submission of LRS-related documents like Form A2 and 15CA/CB (with CA support) Administrative Support & Record Keeping Maintain both digital and physical documentation for all entities Coordinate with the investment analyst or CIO for updates to Asset Vantage • Ensure audit readiness through organized, up-to-date records Candidate Profile Qualifications CA Inter / MBA/ M.Com / B.Com • 3-5 years of experience in accounting, taxation, and compliance Hands-on with Tally ERP, GST, TDS, banking, and payment processing Preferred Experience Exposure to investment operations, HNI/family office environment Familiarity with onboarding processes for MFs, PMS, AIFs, equity, demat accounts • Working knowledge of Asset Vantage, Excel, and document management tools Key Attributes • Trustworthy and discreet handling sensitive financial data • Detail-oriented with strong follow-through Good communicator able to coordinate with CA firms, wealth managers, and internal team • Independent, proactive, and able to manage multiple priorities What We Offer • Opportunity to work in a lean, professional, and long-term family office setup • Diverse exposure to financial and investment operations Collaboration with experienced CIO and external advisors Competitive salary with performance-linked bonus Sowmya Samvith Technologies 9844188855

About this role: Wells Fargo is seeking a Senior Institutional Investment Operations Specialist In this role, you will: Assist in lifecycle support for institutional trade flow Manage client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issues Lead or participate in moderately complex initiatives and deliverables Contribute to large scale planning related to process, procedures and efficiencies with internal and industry related initiatives Identify and recommend opportunities for process improvement and risk control development Provide leadership to bring groups together to resolve multi-faceted complex issues Serve as a leader on projects along with internal and industry related initiatives Review and analyze complex functional and operational tasks that require in-depth evaluation Exercise independent judgment and resolution to guide the deliverable Resolve moderately complex issues Lead team to meet functional area projects, and process deliverables Leverage solid understanding of functions, policies, procedures and compliance requirements Mentor and assist analysts Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Required Qualifications: 4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: MBA or an advanced degree (or equivalent experience). 4+ years FX Settlements experience with a top-tier bank, including 1-2 years in a supervisory role. Good understanding about OPICS, Bswift, SWIFT and other industry standard applications Strategic thinking and good business judgment. Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business partners and other support functions. Comfortable to work in matrix organization. Strong organizational and project management skills with demonstrated ability to manage expectations and deliver on commitments. Must be a team player with a high degree of flexibility, working in a deadline-driven and fast-paced environment including shifts (majorly supporting US business) Excellent presentation skills, effective written and verbal communication skills, should be comfortable dealing with senior management. Proactive control and risk management, addressing gaps in processes and escalating issues to benefit the business and clients in a dynamic environment. Ability to successfully influence many different groups and individuals to deliver high quality and timely deliverables. Ability to work independently in a dynamic and rapidly changing environment and manage multiple priorities. Experience working with senior leaders straddling across Technology, Operations and Strategy in partnership with global teams. Job Expectations: Specializes in FX Settlements process: Deliver quality, sustainable and risk compliant solutions that meet or exceed our customers and team members needs and expectations within the agreed timeline. Operate within well-documented end-to-end processes designed to deliver quality solutions that are valuated continuously. Focus on continuous improvement and creation of efficiencies by understanding internal and external customer needs and expectations. Determine and address the root cause, in order to eliminate issues, streamline, automate, and innovate to deliver increasingly effective solutions Execute responsibilities with precision and reduced error rates People Leadership Attract, retain and develop top talent: Grow & Develop talent. Ensure strong focus on training, succession planning, career development, and managing career opportunities. Performance management, conduct appraisals, complete action plans for people development. Attrition management. Global stakeholder management: Maintain equitable relationship with senior stakeholders, including Operations, Risk & Control, Technology, Learning, Human resources and Support groups. Voice at the table to improve strategy, technology enhancements, prioritization and delivery of agreed deliverables. Superior communication skills to articulate business strategies, on-going BAU events, ICTs, Self-Identified Audit opportunities, listing risk events including mitigating/remediating actions with business partners to manage control events and take proactive steps to avoid any form of escalations. Risk & Controls Mindset : Compliance with relevant risk standards, policies and regulations to maintain an effective control and regulatory environment. Adept at identifying potential risks in operational processes; develops and implements controls to mitigate associated risks Responsible for BCP and ICT management. Ensure system enforced controls, compensating controls, RCSA, daily recon controls (SOD/MOD/EOD) in place. Ensure that the team has effective Quality Check process in place. Delivery of Strategic Programs : Support and manage the delivery of the Firms strategic programs in a high quality, cost effective, timely and sustainable manner with risks and issues identified, prioritized, escalated and managed in a timely and open fashion This includes effective resource management (project people technology), and all budgetary and economic elements of delivery. Change Leadership Re-engineering Initiatives: Lead the change initiatives in FX Settlements process in a seamless manner in close partnership with the global stakeholders. Identify change opportunities (API feeds, data connectivity between SOR and down-streams, Recon Reports); build case study, secure prioritization & funding, ensure UAT, sprints, deployment and subsequent enhancements which are fit for purpose and are scalable. Participate in special projects including process improvement analysis and reporting. Partner with Technology and the lines of business, to deep-dive and identify potential opportunities.

About this role: Wells Fargo is seeking a Institutional Investment Operations Specialist In this role, you will: Participate in lifecycle support tasks for institutional trade initiatives and identify opportunity for process improvements Assist leadership in bringing individual or teams together in order to resolve complex issues Assist in client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issue Provide subject matter expertise on projects along with internal and industry related initiatives Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Required Qualifications: 2+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Experience in one or a combination of the following: Regulatory Reporting, Collateral, Documentation, project management, business operations or strategic planning in financial services. Bachelor's degree, or a business-related field is strongly preferred. Excellent verbal, written (including drafting), and interpersonal communication skills. Microsoft Excel spreadsheets experience importing, exporting, formulas, and manipulating data. Ability to research, compile, and perform complex analysis on critical operational data. Ability to interact with all levels of an organization. Accurately review and remediate breaks, which includes, but is not limited to Dodd Frank, QFC Record keeping, QFC Resolution Stay and MiFID II and various legal notices covering swaps and trades. Working on daily BAU along with remediation process Contribute to large scale planning related to process, procedures and efficiencies dealing with internal and industry related initiatives and deliverables. Identify and recommend opportunities for process improvement and risk control development. Review and analyze complex functional and operational tasks that require in-depth evaluation for scalability. 2+ years of experience in one or a combination of the following: middle office, collateral, documentation, project management, business operations or strategic planning in financial services 3+ years of management experience. Excellent verbal, written (including drafting), and interpersonal communication skills. Microsoft Excel spreadsheets experience importing, exporting, formulas, and manipulating data. Ability to research, compile, and perform complex analysis on critical operational data. Ability to interact with all levels of an organization. Experience working with changing priorities and deadlines. Highly motivated with ability to drive results. Highly organized with very strong attention to detail. Excellent presentation skills. Ability to work with impacted areas to understand complex problems. Ability to multi-task, perform under pressure and meet tight deadlines. Job Expectations: Collaborate with U.S. based QFC RK Data Team to implement tactical and strategic solutions to establish and administer Data Control Reports, which includes identifying data breaks, perform root cause analysis entailing deep dive, complex data analysis,and remediate and/or escalate breaks. Develop procedures and workflows to support BAU processes around Data Controls and analysis and remediate and/or escalate breaks as well as help develop controls required to prevent future breaks. Proactively identify and raise data break issues to technology, business, compliance, upstream system owners and recommend clear options and recommendations that drive decision making toward resolution. Prioritize critical issues and coordinate communicating among senior leadership. Follow, and assist in developing, complex processes and procedural issues in a fast paced environment within firm deadlines Coordinate efforts to consult and coordinate with technology, business, areas and development teams to gather requirements, drive design, and delivery of enhancements to data control reports and ensure deadlines are met. Team Lead in support functions that includes providing guidance and direction to junior staff, oversight of administrative and operational efforts to identify, analyze, and remediate exceptions, compliance issues, risks and gaps in processes. Consult with Legal, Compliance, Ops Risk, Technology, Business areas to establish and support strategic controls and ensure all adequate controls and processes are in place. Assist QFC RK U.S. based Data Team to drive systems/change initiatives, business continuity plans, and to identify development required to ensure legal and regulatory adherence. Collaborate with U.S. based QFC RK Data Team to implement tactical and strategic solutions to establish and administer Data Control Reports, which includes identifying data breaks, perform root cause analysis entailing deep dive, complex data analysis, and remediate and/or escalate breaks. Develop procedures and workflows to support BAU processes around Data Controls and analysis and remediate and/or escalate breaks as well as help develop controls required to prevent future breaks. Proactively identify and raise data break issues to technology, business, compliance, upstream system owners and recommend clear options and recommendations that drive decision making toward resolution. Prioritize critical issues and coordinate communicating among senior leadership. Follow, and assist in developing, complex processes and procedural issues in a fast paced environment within firm deadlines Coordinate efforts to consult and coordinate with technology, business, areas and development teams to gather requirements, drive design, and delivery of enhancements to data control reports and ensure deadlines are met. Team Lead in support functions that includes providing guidance and direction to junior staff, oversight of administrative and operational efforts to identify, analyze, and remediate exceptions, compliance issues, risks and gaps in processes. Consult with Legal, Compliance, Ops Risk, Technology, Business areas to establish and support strategic controls and ensure all adequate controls and processes are in place. Assist QFC RK U.S. based Data Team to drive systems/change initiatives, business continuity plans, and to identify development required to ensure legal and regulatory adherence.

About this role: Wells Fargo is seeking a role for Institutional Investment Operations Specialist In this role, you will: Participate in lifecycle support tasks for institutional trade initiatives and identify opportunity for process improvements Assist leadership in bringing individual or teams together in order to resolve complex issues Assist in client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issue Provide subject matter expertise on projects along with internal and industry related initiatives Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals. Required Qualifications: 2+ years of experience in one or a combination of the following: middle office, collateral, documentation, project management, business operations or strategic planning in financial services years of management experience. Desired Qualifications: Bachelor's degree, or a business-related field is strongly preferred Excellent communication skills both written and verbal Knowledge and understanding of Excel, PowerPoint, Word and adaptability to other software products Be highly collaborative and team-oriented Demonstrate strong analytical and interpersonal skills Ability to work with impacted areas to understand complex problems Ability to work in a fast-paced, team-oriented environment Strong multi-tasking abilities in a high performance, high demand environment Ability to think strategically, drive consensus and influence decision making Job Expectations: Accurately review and remediate breaks, which includes, but is not limited to Dodd Frank, QFC Record keeping, QFC Resolution Stay and MiFID II and various legal notices covering swaps and trades. Working on daily BAU along with remediation process Contribute to large scale planning related to process, procedures and efficiencies dealing with internal and industry related initiatives and deliverables. Identify and recommend opportunities for process improvement and risk control development Review and analyze complex functional and operational tasks that require in-depth evaluation for scalability. Excellent verbal, written (including drafting), and interpersonal communication skills. Microsoft Excel spreadsheets experience importing, exporting, formulas, and manipulating data. Ability to research, compile, and perform complex analysis on critical operational data. Ability to interact with all levels of an organization. Experience working with changing priorities and deadlines. Highly motivated with ability to drive results. Highly organized with very strong attention to detail. Excellent presentation skills. Ability to work with impacted areas to understand complex problems. Ability to multi-task, perform under pressure and meet tight deadlines. Collaborate with U.S. based QFC RK Data Team to implement tactical and strategic solutions to establish and administer Data Control Reports, which includes identifying data breaks, perform root cause analysis entailing deep dive, complex data analysis, and remediate and/or escalate breaks. Develop procedures and workflows to support BAU processes around Data Controls and analysis and remediate and/or escalate breaks as well as help develop controls required to prevent future breaks. Proactively identify and raise data break issues to technology, business, compliance, upstream system owners and recommend clear options and recommendations that drive decision making toward resolution. Prioritize critical issues and coordinate communicating among senior leadership. Follow, and assist in developing, complex processes and procedural issues in a fast paced environment within firm deadlines Coordinate efforts to consult and coordinate with technology, business, areas and development teams to gather requirements, drive design, and delivery of enhancements to data control reports and ensure deadlines are met. Team Lead in support functions that includes providing guidance and direction to junior staff, oversight of administrative and operational efforts to identify, analyze, and remediate exceptions, compliance issues, risks and gaps in processes. Consult with Legal, Compliance, Ops Risk, Technology, Business areas to establish and support strategic controls and ensure all adequate controls and processes are in place. Assist QFC RK U.S. based Data Team to drive systems/change initiatives, business continuity plans, and to identify development required to ensure legal and regulatory adherence.

Institutional Investment Operations Specialist - EMEA Transaction Reporting About this role: Wells Fargo is seeking an Institutional Investment Operations Specialist. In this role, you will: Participate in lifecycle support tasks for institutional trade initiatives and identify opportunity for process improvements Assist leadership in bringing individual or teams together in order to resolve complex issues Assist in client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issue Provide subject matter expertise on projects along with internal and industry related initiatives Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals The role will primarily be responsible for the accurate and timely submissions of our regional transaction reporting obligations to the respective competent authorities through performance of completeness and accuracy reconciliations, however the role will also include support of change management projects and processes as a result of the ever-changing regulatory landscape. These initiatives would include streamlining of MiFID II, SFTR & EMIR RTS 3.0 processes, as well as enhancements to internal infrastructureto support current regulatory requirements. This role is appropriate for an experienced regulatory reporting SME. Required Qualifications: 2+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Job Expectations: The successful candidate will be self-motivated and have experience in transaction reporting operations, covering MiFID and EMIR, and be able to demonstrate a working knowledge of both the regulations and reporting methodologies. Knowledge of transaction reporting operations including EMIR, MiFIR/MiFID I & II requirements. Working product knowledge in OTC Derivatives/Fixed Income and Equities spaces. Solid analytical skills. Experience of working with project and technology stakeholders to deliver change. Solid communication and organisational skills to work with local and remote Operations, Technology and Compliance stakeholders. Proficient with Microsoft Excel (VBA preferred) Performing the daily completeness and accuracy reconciliations process in a timely and accurate manner to meet Wells Fargos reporting obligations. Perform investigations on breaks and perform root cause analysis on all exceptions Maintenance and enhancement of governance documents (eg. Process flows and procedures) Provide analytical support to regulatory change projects. Co-ordinate testing support to regulatory change projects with local SMEs. Work with Compliance and Legal team partners on rule interpretations for regulatory change. Delivery timely and accurate MI to Operations & Compliance management. Issue Management and write ups.

Overview: As a Mutual Fund Operations professional, your responsibility will be to oversee the operational aspects of mutual funds, ensuring seamless execution and compliance with industry regulations. You will handle all key functions such as client onboarding, trade processing, reconciliations, compliance management, and client servicing. Your role is crucial in maintaining efficiency, accuracy, and regulatory adherence in mutual fund operations. Key Responsibilities: Client Onboarding: Facilitate end-to-end client onboarding, ensuring smooth account setup and documentation completion. Maintain accurate records of client onboarding processes for audit and compliance purposes. Trade Processing: Execute mutual fund trade orders accurately and within designated timelines. Monitor trade settlements and ensure timely completion. Identify and resolve trade discrepancies efficiently. Reconciliation: Perform daily, monthly, and quarterly reconciliations of transactions, positions, and cash balances. Investigate and resolve any discrepancies identified during reconciliations. Coordinate with internal teams and external parties for accurate reconciliation processes. Compliance Management: Stay updated with regulatory requirements and ensure adherence to industry standards such as Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations. Conduct periodic compliance audits and reviews to ensure regulatory compliance. Implement and maintain internal controls to mitigate compliance risks. Client Servicing: Assist clients with mutual fund transactions, account inquiries, and operational concerns. Address client queries professionally and in a timely manner. Build and maintain strong client relationships to enhance satisfaction and trust. Investment Operations Coordination: Facilitate coordination with AMCs, PMS providers, AIFs, Bonds, etc., for various investment operations and investor onboarding processes, ensuring compliance and operational alignment. Reporting and Documentation: Prepare and distribute reports related to mutual fund activities, including trade confirmations, NAV calculations, and performance reports. Maintain accurate documentation of transactions, processes, and compliance activities. Assist in regulatory filings and respond to regulatory inquiries as required. Process Improvement: Identify opportunities for process enhancements to improve operational efficiency. Collaborate with cross-functional teams to implement automation and workflow improvements. Stay updated on industry trends and best practices to enhance mutual fund operations. Experience in mutual fund operations, fund accounting, or financial services is preferred. Strong knowledge of mutual fund regulations, including SEC guidelines. Excellent analytical skills with keen attention to detail and accuracy. Ability to work effectively in a fast-paced environment and manage multiple tasks. Problem-solving mindset with a proactive approach to issue resolution. Bachelors degree in Finance, Business Administration, or a related field. Certifications such as CFA (Chartered Financial Analyst) or CAMS (Certified Anti-Money Laundering Specialist) are a plus.

In this role, you will: Provide operational and customer support for lifecycle tasks for institutional trades Assist with client account onboarding, input and monitoring of cash payments, customer service, funding operations, custodial operations, securities settlement services, asset servicing structured loan operations, general ledger reconciliation and work to resolve confirmation and ISDA related issues Assist in gathering data to support resolution of issues Receive direction from manager and exercise judgment within defined parameters of the area while developing understanding of various functions, policies and procedures Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Required Qualifications: 6+ months of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Reconcile Top day cleared trades at various exchanges by Wells Fargo and process missing trades in GMI to match with exchange Monitor top day executions and clearing activity across various markets and ensure there have not been any technical issues which may interrupt the STP process Maintain accurate books and records of the customer Perform Middle office to Back Office reconciliations and ensure timely identification, notification and resolution of breaks Perform daily reconciliation of exchange fees and report discrepancies to the fee control group to make necessary adjustments with match with Exchange. Proactively address and resolve the queries raised by customer Collaborate closely with Onshore/Offshore teams, Front Office, Risk, Finance, and Technology to ensure process integrity and client satisfaction. Identifying opportunities to improve the process through partnership with other teams and implement best practices Co-ordinate and work with the team to ensure smooth functioning of BAU Develop and maintain MIS on end-to-end process for tracking turnaround times of deliverables from team and other processing areas Maintain and update procedural documentation and knowledge repositories to support team knowledge retention and onboarding. Contribute to monthly/quarterly MIS reporting, audit requests as required. Job Expectations: Strong knowledge of Listed and OTC derivative products Good Understanding of Trade Life Cycle Minimum 6 Months of working experience in Derivative Clearing Services Experience of Working with GMI and Clear Vision is must Strong Accounting skills Well versed with advanced Excel functions Strong Analytic ability, attention to detail and strong problem-solving skills Ability to communicate (written/verbal) effectively at all organizational levels Desired Skills Excellent teamwork skills Excellent Interpersonal skills ability to build relationships Ability to plan and organize workload within tight deadlines, meeting day-to-day objectives as well as long term strategic goals Flexible to work in rotational shifts Good at multi-tasking and process handling

Skills Required: Very good understanding of Fund Compliance or Reg Reporting or Risk Reporting or Investment Risk. Good understanding of various asset classes F&O, Fwds, OTCs, Swaps, Structured products. Experience with Bloomberg and/or other market data platforms. Previous exposure to Client Service roles. Strong Written and verbal communication skills. Dedication to work as team and deliver timely results. Candidates should be willing and flexible to work in any shifts. Qualification and Experience: MBA Finance, CA/CMA/CFA 9-11 years of Investment Operations / Risk Management experience

Job Overview: 1. Investment Specialist role is to be in touch with investor over the phone and update them about latest ongoing schemes (which includes, Mutual Funds, Bonds etc). 2. Help them to make wise investment decision based on various factors. Business development and acquisition of new investor is the key criteria of performance matrix Qualifications and Skills: Knowledge or interest in Mutual Funds and Finance Good communication skills Basic computer skills Recent graduates with a degree in Finance or related field Freshers with a passion for the financial services industry Strong understanding of the investment business Excellent interpersonal skills.

The Specialist - Transfer Agency will be responsible for overseeing the operations of the transfer agency, ensuring compliance, and delivering exceptional service to clients and investors. Responsibilities Manage and oversee the transfer agency operations including processing of transactions, reconciliations, and reporting. Ensure compliance with regulatory requirements and internal policies related to transfer agency functions. Act as a liaison between clients, investors, and internal teams to resolve any issues or inquiries in a timely manner. Perform quality control checks to ensure accuracy in the transfer agency processes and documentation. Assist in the implementation and enhancement of systems and processes to improve efficiency within the transfer agency operations. Skills and Qualifications Bachelor's degree in Finance, Accounting, Business Administration, or a related field. 6-10 years of experience in transfer agency, fund administration, or a similar role in the financial services industry. Strong knowledge of financial instruments, investment funds, and regulatory requirements in the transfer agency domain. Proficient in using transfer agency software and MS Office Suite, particularly Excel for data analysis and reporting. Excellent analytical, problem-solving, and communication skills to effectively interact with clients and stakeholders.

Apex Fund Services LLP is looking for Specialist - Transfer Agency to join our dynamic team and embark on a rewarding career journey. Develop and implement technology transfer processes. Conduct technology transfer analysis and planning. Collaborate with R&D and production teams. Monitor and report on technology transfer performance. Ensure compliance with technology transfer standards and protocols. Provide support and guidance on technology transfer matters.

We are seeking a Specialist - Transfer Agency to join our team in India. The ideal candidate will be responsible for managing the operations of the Transfer Agency function, ensuring accurate processing of investor transactions and compliance with regulatory requirements. Responsibilities Manage day-to-day operations of the Transfer Agency function. Perform investor onboarding and account maintenance activities. Ensure compliance with regulatory requirements and internal policies. Coordinate with clients and internal teams to resolve inquiries and issues. Process subscriptions, redemptions, and transfers of units/shares. Prepare and maintain accurate records and reports related to investor transactions. Assist in the development and implementation of process improvements. Skills and Qualifications Bachelor's degree in Finance, Business Administration, or a related field. 2-6 years of experience in Transfer Agency or a similar role in the financial services industry. Strong understanding of fund operations and regulatory compliance. Proficiency in Microsoft Office Suite, especially Excel for data analysis. Excellent communication and interpersonal skills. Detail-oriented with strong analytical and problem-solving abilities. Ability to work independently and as part of a team in a fast-paced environment.

Role Description We are seeking an experienced and client-focused Service Manager to join our Relationship Management team in the Wealth Management division. The successful candidate will be responsible for managing and enhancing relationships with our clients, ensuring exceptional service delivery, and driving client satisfaction. Key Responsibilities Act as a liaison between front-office relationship managers and various back-office departments to resolve client inquiries and requests efficiently Process and monitor client transactions, account maintenance requests, and documentation Manage and update client information in CRM and other relevant systems, ensuring data accuracy and completeness Coordinate with internal teams (e.g., compliance, risk management, investment operations) to facilitate client service requests and problem resolution Assist in the client onboarding process, including document collection, verification, and system setup Prepare and distribute client reports, statements, and other correspondence as required Monitor and track service level agreements (SLAs) to ensure timely resolution of client requests Identify and escalate complex issues to appropriate channels for resolution Contribute to the development and implementation of process improvements to enhance operational efficiency Qualifications Minimum of 3 years of experience in wealth management or financial services Proficiency in CRM systems, financial platforms, and Microsoft Office suite Excellent knowledge of KYC (Know Your Customer) and AML (Anti-Money Laundering) procedures Problem-solving and decision-making skills Bachelor's degree in Business, Finance, Economics, or related field.