Associate Vice President (AVP) RTA Equity &

- Debt OperationsPosition SummaryThe Associate Vice President (AVP) Equity &
- Debt Operations is responsible for leading and managing end-to-end Registrar &
- Transfer Agent (RTA) operations for equity shares, debentures, bonds, commercial papers, and other securities. The role ensures regulatory compliance, operational excellence, client service delivery, technology transformation, risk management, and business growth while maintaining service levels and stakeholder satisfaction.Reporting To: Vice President / Business Head RTA Location: Mumbai / Vashi Department: Registrar &
- Transfer Agent (RTA)Key Responsibilities1.

Equity Operations

Management

- Oversee end-to-end shareholder servicing activities.
- Manage share transfers, transmission, transposition, duplicate certificates, dematerialization/rematerialization, nomination, and investor queries.
- Ensure compliance with SEBI, Companies Act, NSDL, and CDSL regulations.
- Monitor operational KPIs, SLAs, and turnaround times.

2. Debt Operations Management

- Manage servicing of debentures, bonds, NCDs, commercial papers, and other debt instruments.
- Oversee interest payments, redemption processing, investor record management, and compliance reporting.
- Coordinate with issuers, trustees, depositories, and bankers.
- Ensure timely execution of corporate actions and debt servicing commitments.

3.



IPO and Rights Issue management

- Drive the design and development of technology solutions for IPOs & Rights Issues
- Lead end-to-end execution of IPOs, FPOs, Rights Issues, Offer for Sale (OFS), Buybacks, and other primary market activities.
- Coordinate with Issuers, Merchant Bankers, Stock Exchanges, Depositories (NSDL/CDSL), Bankers to the Issue, and Regulators for smooth transaction processing.
- Oversee application processing, reconciliation, basis of allotment, share credit, refund/unblocking activities, and investor communication.
- Ensure timely listing and compliance with SEBI, Stock Exchange, and Companies Act requirements.

4. Corporate Actions & Issue Management

- Supervise dividend, interest, redemption, bonus, rights, split, consolidation, and buyback activities.
- Lead IPOs, rights issues, QIPs, preferential allotments, and debt issuances.
- Coordinate with merchant bankers, issuers, stock exchanges, and regulators.

5. Regulatory & Compliance Oversight

- Ensure adherence to:

- SEBI (RTA) Regulations

- SEBI LODR Regulations
- Companies Act, 2013

- Depository Regulations

- IEPF Rules
- Cybersecurity and Data Privacy Guidelines
- Manage internal, statutory, SEBI, and client audits.
- Drive closure of audit observations and regulatory findings.

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📌 Associate Vice President (Mumbai)
🏢 3i Infotech
📍 Mumbai