1 Rta Jobs nearby Gandhinagar

As a Principal Compliance Officer at PlusWealth Capital Management LLP, your role is pivotal in ensuring the firm's full compliance with SEBI and exchange-related regulations. You will work collaboratively with leadership, legal, trading, and operations teams to uphold integrity and operational discipline. **Key Responsibilities:** - Handling Compliance activities w.r.t Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3) - Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants - Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors - Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations scheduled on regular or ad-hoc basis - Handling Ad hoc queries from the Regulators, Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division - Reviewing Email boxes of all the entities mentioned above on a daily basis to ensure important communications are addressed - Dealing with auditors, inspecting officials, stakeholders, vendors, consultants on a regular basis - Overlooking / supervising / performing daily tasks as mentioned in attached tasks list of Compliance and DP departments **Qualifications:** - Bachelor's degree in finance, Business Administration, or related field - 4+ years of experience in compliance within Stock broking or finance Organization - Strong understanding of regulatory requirements and exchange circulars - Proficiency with financial and compliance software - Excellent attention to detail and organizational skills - Strong analytical and problem-solving abilities - Effective communication skills, both written and verbal - Ability to manage multiple tasks and prioritize effectively **Good to have:** - Certification in Compliance or a related field - Experience with CDSL, CAPEX, NSE, and BSE systems - NISM Certificate Series 7 (SORM) or Series 8 (Equity Derivatives) - Knowledge of Stock market and basic IT terms - Knowledge of IT processes related to compliance and DP operations,

As an Operations Executive at Equirus Wealth Private Limited, you will play a crucial role in handling the Mutual Funds division and overseeing end-to-end operations of MF trade processing. Your responsibilities will include coordinating with RTA and other vendors, ensuring smooth branch coordination to minimize complaints and ensure quick resolutions, managing various day-to-day transaction activities, processing applications for new accounts, and providing support to RMs on transactions, portal usage, and funds reconciliation. Key Responsibilities: - Handle Mutual Funds division and end-to-end operations of MF trade processing. - Coordinate with RTA and other vendors. - Ensure smooth branch coordination for minimal complaints and quick resolutions. - Manage various day-to-day transaction activities. - Process applications for new accounts. - Support RMs with transactions, portal usage, and funds reconciliation. - Provide administrative support for daily data entry using MS Excel. - Reconcile brokerage in coordination with AMC/RTA. - Process all service requests and follow up for updating demographic changes. - Process Non-MF transactions. Qualifications Required: - Graduate - 5+ years of experience in Operations - Excellent command over English - Strong internal communication and coordination skills - Preferable experience in KYC and Mutual Fund transaction processing - Hands-on experience with the BSE Star platform is preferable About Equirus: Equirus is a reputable mid-market investment bank with expertise in M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services. By being a trusted investment bank, Equirus serves customers with top-notch advisory services for investments, assists corporates in their growth and capital needs, and helps families manage their wealth. Led by seasoned bankers, Equirus collaborates with the largest and most reputed investors to achieve exceptional results. For more information, visit www.equirus.com Salary: Negotiable Location: Ahmedabad Role: Wealth Operations Executive Category: Wealth MIS & Operations Employment Type: Full-time,

Role Overview: As a Real Time Analyst in the Workforce Management department, your primary responsibility is to ensure the achievement of service levels for each Operations account by actively managing the queue in real-time. You will serve as the central point of communication for all events and circumstances affecting account performance, updating and analyzing data for real-time performance evaluation. Obtaining quantifiable performance metrics such as call volume, AHT, and service levels, you will provide critical recommendations to address any performance issues. Key Responsibilities: - Monitor the queue closely against the service level targets and proactively devise action plans. - Communicate with Team Captains and Operations Management to address performance issues. - Cascade vital information to key decision-makers and escalate relevant details on account performance to Management. - Document major incidents effectively and stay informed about new policies and procedures related to specific accounts. - Address key issues and challenges in achieving service levels by devising appropriate solutions. Qualifications Required: - Bachelor's Degree in any field. - At least one year of Workforce Management experience in the call center or customer service industry. - Formal training in Workforce Management. - Previous experience in call center operations. - Basic knowledge of workforce management processes, concepts, and principles. - Familiarity with client specifics and workforce management software systems. - Understanding of call center operations. - Proficiency in MS Office applications and call center-specific software. (Note: Additional details of the company were not present in the job description),