Manager - RTA Operations

Role Purpose
To oversee and strengthen Registrar & Transfer Agent (RTA) operations by ensuring efficient
transaction processing, regulatory compliance, vendor management, branch support, and
process enhancements. The role is responsible for driving operational excellence, coordinating
with internal and external stakeholders, ensuring adherence to regulatory requirements, and
supporting digital transformation and automation initiatives across investor servicing
operations.

Key Responsibilities

1. Transaction Processing & Service Delivery
Monitor daily financial and non-financial transaction processing activities.
Track and resolve transaction rejections, exceptions, pending cases, and operational
discrepancies through periodic health check reviews.
Ensure adherence to service level agreements (SLAs) and turnaround times (TATs) by RTA and
service providers.
Identify operational bottlenecks and drive timely resolution to maintain service quality and
investor satisfaction.
2. RTA Operations & Stakeholder Management
Act as the primary liaison between Organization and RTA partners for implementation of
regulatory changes, new products, facilities, and operational enhancements.

Analyze systemic operational issues, customer complaints, and recurring exceptions and drive
corrective and preventive actions.
Participate in system enhancement initiatives, user acceptance testing (UAT), and New Fund
Offer (NFO) launches.
Review existing operational workflows and recommend process improvements to enhance
efficiency and controls.
Coordinate with Business Development, Compliance, and RTA teams for onboarding and
management of RIA and channel partner agreements.
Drive automation initiatives to reduce manual intervention and improve process efficiency.
Manage old and matured scheme operations, monitoring, and reporting.
Oversee vendor payment processing, provisions tracking, and maintenance of related MIS
reports.
3. Regulatory Compliance, Reporting & MIS
Ensure operational processes comply with SEBI regulations, AMFI guidelines, internal policies,
and regulatory requirements.
Coordinate and ensure timely submission of regulatory reports, including FATCA/CRS and other
statutory requirements.
Support internal and external audits and ensure timely closure of audit observations.
Assist in preparation of presentations, dashboards, and agenda papers for management
committees, including UHPC.
Generate periodic and ad hoc MIS reports for senior management and business stakeholders.
Monitor operational risk and compliance controls across key investor servicing processes.
4. Branch Operations & Investor Services Support
Provide operational support to branches and investor servicing teams for resolution of queries
and complaints.
Manage escalated cases and ensure timely, accurate, and compliant resolution.
Monitor branch compliance through periodic checklist reviews and exception reporting.
Act as backup support for Investor Services functions whenever required.

Collaborate with branches and other departments to ensure seamless investor servicing
experience.
Qualifications
 Graduate in Commerce, Finance, Business Administration, or related discipline.
 MBA/PGDM in Finance, Operations, or equivalent qualification will be preferred.
 Relevant certifications in Mutual Fund Operations, NISM, Compliance, or Financial Services
will be an added advantage.
Experience
 6-7 years of experience in Mutual Fund Operations, RTA Operations, Investor Services, or
Financial Services Operations.
 Strong understanding of mutual fund transaction processing, investor servicing, SEBI
regulations, AMFI guidelines, FATCA/CRS requirements, and compliance frameworks.
 Experience in stakeholder management, vendor coordination, process improvement, UAT
testing, and MIS reporting.
 Proficiency in MS Excel, reporting tools, and operational analytics.
 Strong analytical, problem-solving, communication, and coordination skills.