Key Responsibilities • Process account maintenance requests, new business applications, transfer paperwork, and related operational transactions. • Review broker-dealer submissions for accuracy, completeness, and regulatory requirements. • Identify and communicate Not-In-Good-Order (NIGO) cases to facilitate timely resolution. • Accurately process and maintain client data within back-office systems. • Review and process internal brokerage and advisory transfers. • Administer money movement, investment, and withdrawal instructions in accordance with applicable policies and regulations. • Research and resolve operational issues while maintaining service-level commitments. • Apply root cause analysis techniques to identify and address process inefficiencies. • Collaborate effectively with internal business partners and external stakeholders. • Consistently achieve productivity, quality, and service goals. • Leverage Microsoft Office applications, particularly Excel, Word, and PowerPoint, to support operational activities. • Utilize VBA and Excel Macros where applicable to improve efficiency and reporting. Required Qualifications • Bachelor's degree or equivalent business experience. • 4+ years of experience in financial services or a comparable operations environment. • Strong analytical, organizational, and problem-solving skills. • Excellent verbal and written communication skills. • Proficiency in Microsoft Excel, Word, and PowerPoint. • Knowledge of Excel Macros and VBA is preferred. • Ability to identify improvement opportunities and drive process enhancements. • Strong attention to detail with the ability to manage multiple priorities in a fast-paced environment. • Sound logical reasoning and decision-making skills. • Ability to work effectively under strict deadlines. • Ability to successfully complete a Non-Registered Fingerprint (NRF) background check under FINRA requirements. • Knowledge of: • Registration types and brokerage account features • Managed account attributes and billing processes • Client onboarding and account maintenance activities • Securities industry operations and back-office processing for non-retirement accounts • Understanding of FINRA and SEC rules and regulations is preferred. • Flexibility to work overtime and adjust schedules as business needs require. Preferred Qualifications • 4+ years of experience within the financial services industry. • MBA or equivalent business qualification preferred. • Experience supporting wealth management, brokerage, advisory, or transfer-of-assets operations. • Knowledge of FINRA and SEC regulations. • Experience working with operational controls, process improvements, and automation initiatives. Compliance Requirements As part of the Wealth Management Operations team, this role is subject to regulatory and supervisory requirements, including: • Non-Registered Fingerprinting (NRF) • Personal Trading Account Oversight • Compliance and regulatory monitoring requirements Work Timings This position requires flexibility to work across regular, afternoon, and night shifts in India on either a permanent or rotational basis, depending on business requirements.