Associate - Operations

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.
• Strong 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.
• Knowledge of Excel Macros and VBA is preferred.
• Understanding of FINRA and SEC rules and regulations is preferred.
• Compliance Requirements
• 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.
• Why Join Us?
• We’ve been around since 1851. During our history, we’ve learned a few things about making sure our customers our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products, and services. To accomplish this, we celebrate an inclusive, vibrant, and diverse culture that encourages growth, openness, and opportunities for everyone. A career with MassMutual, Great Place to Work® certified and India's Best Workplaces in BFSI 2023 - Top 50 organization means you will be part of a strong, stable, and ethical business with industry leading pay and benefits. And your voice will always be heard.
• Does this sound like a great fit? Apply today!

Compliance Requirements

Work Timings