Operations Executive

Job Description:

Role Overview

This role focuses on overseeing daily operations related to banking, documentation, and compliance across various investment vehicles. It is crucial for ensuring process discipline, timely settlements, and seamless information flow for stakeholders, the investment committee, and auditors. The ideal candidate is meticulous, reliable, and comfortable working across multiple service providers and regulatory touchpoints in a fast-paced family office environment. 

Key Responsibilities

A.  Transaction Processing & Banking Operations

▪ Prepare and execute investor payments and investment-related bank transfers via RTGS, NEFT, and CMS.

▪ Ensure all supporting documentation is collected and presented for approval prior to execution.

▪ Coordinate directly with banks, custodians, and brokers to ensure the correct and timely settlement of subscriptions and redemptions.

▪ Monitor real-time cash balances and investment activity.

▪ Maintain a daily payment tracker log capturing transaction reference numbers, amounts, beneficiary details, and status (pending/processed/failed) for every outward remittance.   

▪ Follow up with banks and custodians on any delayed or failed transactions and escalate unresolved cases within the same business day.   

▪ Prepare a weekly cash flow summary showing expected inflows and outflows from scheduled SIPs, redemptions, and other obligations.    

B.  Documentation & Compliance

▪ Compile and maintain proper documentation to ensure smooth KYC, transaction authentication, and timely investment.

▪ Facilitate the required data and documents for investment purchases and redemptions, onboarding new investments, and responding to audit or statutory requests.

▪ Maintain a precise log of regulatory deadlines and support timely regulatory filings as per mandated reporting cycles. 

▪ Maintain a well-organised digital and physical filing system for all KYC documents, account opening forms, mandate letters, and board resolutions — filed by entity and financial year.   

▪ Prepare and maintain an onboarding checklist for every new investment vehicle or account, tracking document receipt and completion status at each stage.   

▪ Send routine follow-up emails to relationship managers, brokers, and registrars for outstanding documentation, and maintain a log of all such communications.   

▪ Maintain a compliance calendar with key deadlines (KYC renewals, mandate expirations, regulatory filings) and send internal reminders at least 15 days in advance.

C.  Accounting Support & Reconciliation

▪ Record all investment-related transactions in Tally — purchases, redemptions, dividends, interest receipts, and bank charges — on the day of occurrence.   

▪ Prepare a monthly bank reconciliation statement for all investment-linked accounts, highlighting and resolving any unreconciled items before month-close.   

▪ Assist in compiling supporting schedules for the annual audit — including investment listings, bank statements, and transaction summaries — as requested by the statutory auditor.   

▪ Maintain a running ledger of brokerage fees, fund management charges, and other investment expenses to assist with cost tracking and budgeting.   

▪ Maintain and update a counterparty master — a clean reference list of all banks, brokers, AMCs, and custodians with their account details, contact persons, and IFSC/SWIFT codes. 

Qualifications & Competencies Academic & Professional Background ▪

Bachelor's degree in Finance, Commerce, Accounting, Economics, or an equivalent relevant discipline.

▪ Relevant experience in fund operations or back-office roles in a financial, advisory, or family office investment setting will be preferred. Technical Skills

▪ Proven proficiency in Tally and standard office productivity suites (MS Excel, MS Word, Google Workspace) is mandatory.

▪ Working knowledge of RTGS/NEFT/CMS, as well as custody and broker operations is preferred.

▪ Familiarity with basic spreadsheet tasks: maintaining trackers, formatting tables, and using filters and basic formulas for data organisation.   Soft Skills & Work Style

▪ Ability to work under tight deadlines, multitask, and prioritise effectively.

▪ Teamwork orientation and tactful collaboration across multiple departments and service providers.

▪ Strong attention to detail — particularly when handling documentation where errors can have regulatory or financial consequences.   

▪ Proactive communication style: keeping relevant stakeholders informed of transaction status, delays, or missing documents without needing to be prompted.