Job Purpose
To Design, implement and mange Quality Assurance (QA) Initiative, Business Continuity Plan (BCP) of the organisation, Management Information System (MIS), Business intelligence (BI) system and rolling out of key new process and service initiative with the objective of de-risking the business and to standardise and enhance the existing processes.
Job Context & Major Challenges
Job Context:

1.Certification program for sale and distribution of MF products

2.Disclosure of Investor Complaints on websites

3.Advertisements by MFs and related disclosure requirements

4.Valuation of Debt and Money Market instruments

5.Transparency in Payment of Commission and load structure

6.Uniformity of Entry and Exit load

7.Code of Conduct of Intermediaries

8.Systems Audit of MFs

9.AML

10.Facilitating MF transactions through Stock Exchanges

Job Challenges:

1.With regulatory being more vigilant and regular changes and enhancement of the rules and regulation with a time bound implementation, to effective rollout and monitoring the adherence to the same.





2.Constant change in the business environment be it new technology, competition, current features requires to timely action to have the edge and be better than the competition.

3.With lot of reliance on the service provider, proper definition and monitoring of the service level agreement with the service providers.

4.For the set up of the offshore companies in various countries and jurisdiction understanding of the respective regulations and understanding of the tax implication in order to have the best structure
Key Result Areas

KRA (Accountabilities) (Max 1325 Characters)Supporting Actions (Max 1325 Characters)KRA1Design & implement the Quality Assurance Initiative1.Reviewing the process and adherence to the regulations and standard operating practices.

2.Identifying gaps in the processes and risk associated with a view to improve the processes.

3.Engage external profession firms to carry out the reviewsKRA2Effect

📌 Lead - Operations Excellence (Mumbai)
🏢 Financial services
📍 Mumbai