Designation: Senior Manager / Manager AOT & UCC Operations

Company: Anand Rathi IT Pvt. Ltd.

Department: Operations AOT & UCC

Designation: Senior Manager / Manager AOT & UCC

Industry: Stock Broking / Capital Market / BFSI

Experience: 712 Years

Location: Jodhpur

Job Overview: We are seeking an experienced professional to lead our AOT (Account Opening Team) and UCC (Unique Client Code) Operations. The role requires managing critical client onboarding processes, ensuring compliance with regulatory requirements, handling operational controls, and leading a team to deliver high-quality service standards.

The ideal candidate should possess strong operational expertise in stock broking, banking, financial services, or lending operations, along with experience in team management and regulatory compliance.

Key Responsibilities

1. AOT Operations Management

- Oversee end-to-end account opening processes across various business segments.
- Ensure timely processing and verification of client onboarding requests.
- Monitor documentation quality and process adherence.
- Ensure seamless coordination between branches, sales teams, and operations units.
- Identify and resolve onboarding-related operational issues.

2. UCC Management

- Manage client UCC creation, modification, activation, and maintenance activities.
- Ensure accuracy and regulatory compliance in client master data.
- Monitor UCC-related validations and controls.
- Handle discrepancies and ensure timely resolution.
- Maintain high standards of operational accuracy and turnaround time.

3. Compliance & Regulatory Control

- Review regulatory notifications, circulars,



and operational guidelines.
- Interpret compliance requirements and implement necessary operational changes.
- Ensure adherence to SEBI, NSE, BSE, and internal compliance guidelines.
- Coordinate with compliance and audit teams during reviews and inspections.
- Monitor process controls to mitigate operational risks.

4. Process Improvement & Governance

- Analyze existing operational processes and recommend improvements.
- Develop and implement process efficiencies to enhance productivity.
- Maintain operational MIS and reports.
- Track service metrics and ensure compliance with defined SLAs.

5. Team Management

- Lead, mentor, and supervise the AOT & UCC team.
- Allocate responsibilities and monitor team performance.
- Conduct regular training sessions on operational and compliance requirements.
- Handle escalations and ensure timely issue resolution.
- Foster a high-performance and compliance-driven work environment.

Required Skills & Qualifications

- Graduate/Postgraduate in Commerce, Finance, Banking, or related discipline.
- 7–12 years of experience in stock broking, banking, financial services, or lending operations.
- Robust knowledge of account opening and client onboarding processes.
- Experience in UCC operations and client master management.
- Good understanding of regulatory and compliance requirements.
- Ability to interpret circulars, notifications, and operational guidelines.
- Prior experience in team handling and people management.
- Strong analytical, decision-making, and problem-solving skills.
- Proficiency in MS Excel and operational reporting.

📌 Senior Manager or Manager AOT and UCC Operations (Jodhpur)
🏢 Anand Rathi IT, Jodhpur
📍 Jodhpur