Role ObjectiveLead branch service delivery, operations and support functions to ensure a consistently high standard of client experience, operational accuracy and regulatory compliance. Manage the teams responsible for servicing the firm’s clients, including HNI and Ultra HNI families, while strengthening processes, controls and accountability.

Key Responsibilities1. Team Leadership and Functional Supervision

- Lead and supervise Service Managers and the HR, Accounts and Product teams.
- Define responsibilities, service standards, performance parameters and reporting requirements for each function.
- Allocate work, monitor pending tasks and ensure timely completion across teams.
- Conduct regular team reviews, provide feedback and identify training requirements.
- Establish backup arrangements and structured handovers to maintain continuity during absence or employee transitions.
- Coordinate with Relationship Managers and Directors to resolve cross-functional issues.

2. HNI and Ultra HNI Client Servicing

- Oversee end-to-end servicing of HNI and Ultra HNI clients, maintaining discretion, accuracy and responsiveness.
- Act as the senior escalation point for complex requests, service concerns and complaints.
- Coordinate client requirements across investments, insurance and other products distributed or facilitated by the company.
- Ensure clear ownership and timely communication for every client request until closure.
- Maintain strict confidentiality of client information and financial records.

3. Quarterly Client Calling and Service Reviews

- Own the quarterly service-calling programme, ensuring every client of the firm is contacted at least once each quarter.
- Personally connect with key Ultra HNI clients and clients requiring senior-level attention.
- Review service satisfaction, pending requests, recurring concerns and coordination with the assigned Relationship Manager.
- Record call outcomes, assign corrective actions and track them to closure.
- Escalate material concerns, potential relationship risks and repeated service failures to Directors.
- Submit a quarterly report covering client-contact completion, feedback, unresolved issues and improvement actions.

4. Branch Operations and Transaction Oversight

- Supervise client onboarding, KYC, account opening, documentation and transaction processing.
- Oversee investment applications, redemptions, switches, SIP/STP/SWP requests and other servicing activities relevant to the company’s business.
- Ensure client instructions and authorisations are complete, verified and processed within defined timelines.
- Implement maker-checker controls for sensitive transactions, record changes and document verification.
- Monitor rejected transactions, processing errors and overdue requests, ensuring prompt resolution.
- Coordinate with AMCs, RTAs, insurers, PMS/AIF providers, brokers, banks and other partners.

5. Compliance and Regulatory Coordination

- Take ownership of the company’s compliance calendar and coordinate requirements relating to SEBI, NSE, BSE and AMFI,



as applicable to the company’s registrations, memberships, distribution activities and platform arrangements.
- Track regulatory circulars and ensure relevant changes are communicated and implemented.
- Coordinate timely filings, renewals, certifications, declarations, reporting and maintenance of required records.
- Monitor applicable ARN/EUIN validity, employee certifications, empanelments and platform access.
- Oversee compliance relating to KYC, AML, client consent, disclosures, record retention and data confidentiality.
- Review client communications and promotional material for appropriate disclosures and consistency with the company’s authorised business activities.
- Coordinate with Directors, external compliance professionals, auditors and legal advisers on inspections, queries and regulatory matters.
- Escalate potential breaches promptly and track corrective actions to completion.

6. Complaint Management and Service Quality

- Maintain a central complaint and escalation register with clear ownership, timelines and closure records.
- Ensure complaints are acknowledged, investigated and resolved within applicable timelines.
- Coordinate responses through relevant investor grievance channels, where applicable.
- Identify root causes of recurring complaints and implement preventive measures.
- Conduct periodic checks of client records, service calls and transaction documentation.
- Promote ethical conduct and ensure service or sales pressures do not lead to mis-selling, unauthorised transactions or misleading commitments.

7. HR and Administration Oversight

- Supervise HR processes covering recruitment coordination, onboarding, attendance, leave, payroll inputs and employee records.
- Ensure appointment documentation, confidentiality commitments, exit formalities and handovers are completed.
- Coordinate employee training, performance reviews and implementation of company policies.
- Oversee branch administration, vendor coordination, company assets and access allocation.
- Ensure company devices, records and system access are appropriately controlled during employee joining, role changes and exits.

8. Accounts and Revenue Controls

- Supervise the Accounts team’s work relating to reconciliations, receivables, payables, expenses and management reporting.
- Monitor commission and other business receipts, identify discrepancies and coordinate recovery or correction.
- Review payroll inputs, incentive calculations and supporting records before approval.
- Coordinate with the company’s CA and relevant professionals for accounting, tax and statutory requirements.
- Ensure payments and financial commitments follow the company’s approval process.

9. Product Team Oversight and RM Support





- Supervise timely preparation and circulation of approved product information, factsheets, comparisons and client-support material.
- Ensure product information is current, accurate and includes relevant risks, charges and liquidity conditions.
- Coordinate product and process training with partner institutions.
- Ensure Relationship Managers receive timely operational and product support for client discussions and implementation.
- Escalate product-related servicing concerns and partner-level issues.

10. Process Improvement, Systems and Controls

- Develop and maintain standard operating procedures, service timelines and escalation processes.
- Ensure CRM and other systems contain accurate client records, interaction history and pending actions.
- Reduce manual errors through better workflows, automation and clearly defined controls.
- Review system access, document storage, backups and business continuity arrangements with the relevant teams.
- Monitor operational incidents and implement corrective measures.

11. Management Reporting

- Provide regular reports to Directors on service performance, quarterly client calling, complaints, compliance, staffing and operational risks.
- Highlight overdue tasks, repeated errors and matters requiring management intervention.
- Track agreed corrective actions and ensure closure within committed timelines.

Mandatory Candidate Requirements
- Candidates must have relevant experience in banking and/or wealth management. Applicants from unrelated sectors will not be considered.
- Proven experience managing teams, with responsibility for client servicing, operations and cross-functional coordination.
- Demonstrated experience dealing directly with HNI and Ultra HNI clients.
- Practical experience in compliance management and coordination with auditors or compliance professionals.
- Understanding of mutual fund distribution, investment servicing, KYC/AML, documentation and investor grievance handling.
- Familiarity with applicable SEBI, AMFI, NSE and BSE requirements relevant to the business.
- Solid communication, escalation management, process control and problem-solving skills.
- Proficiency in CRM systems, Excel and operational reporting.
- Graduate qualification required; relevant professional qualifications and industry certifications preferred.

Key Performance Measures
- Completion of the firm’s quarterly client-contact programme.
- Client satisfaction and timely closure of complaints.
- Accuracy and turnaround time of onboarding and transactions.
- Timely completion of applicable compliance obligations and closure of audit observations.
- Reduction in processing errors, overdue requests and repeat service failures.
- Team productivity, training, accountability and continuity of operations.
- Accuracy of reconciliations, revenue tracking and management reports.
- Effective coordination across Service, HR, Accounts, Product and Relationship Management.
- Confidential handling of client information and adherence to approved controls.

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📌 Service Head- Private Wealth Management (Chandigarh)
🏢 WealthVault Research and Analytics
📍 Chandigarh