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.





- Robust 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.

📌 Associate, Operations - MMLIS (Secunderabad)
🏢 MassMutual India
📍 Secunderabad