Registrar and Transfer Agent -RTA For a leading AMC

Roles and Responsibilities

• RTA Coordination :
• Daily updates from the team for MIS and reconciliation
• Regular recon for updating NFT details of investors
• Sharing communications regarding income distribution, Tax residency MIS, SoA, redemptions with investors
• Ensuring month end activities like DTR reconciliation, distribution fees working etc are done with RTA data
• Client Servicing / Distribution Servicing :
• Support (Back end) on Digital Asset Creation & Implementation
• Intimating investor sales desk for daily queries raised by RTA on application forms
• Coordinating with distributors and sharing NAVs, distribution fees working
• Coordinating and sharing the payouts, notices, SoA with distributors
• Catering to investor queries and resolution of the same through CAMS / KFintech
• Reconciliation and Reporting
• Banking Relations are maintained and harnessed.
• Daily reconciling collection MIS sent by the RTA for all the schemes and intimating AMC support for any discrepancy in the applications
• Ensuring CMS banking file received from the banker is reconciled with the collection MIS received from RTA
• Investor level reconciliation from all communications sent to investors such as SoA, Tax statements, Distribution Statements etc
• Addons
• Settle the equity, debt, G-sec and repo / CBLO trades through STP, FIMMDA reporting and inform DB custody and DB fund accountant for NAV calculation
• Check and provide regulatory report received from DB fund accounting to compliance
• Assist in handling audit – Regulatory / Statutory / Internal and others
• Responsible for smooth flow of information to the distributors and act as solution provider for various queries with sales team and their partners
• Translate strategic goals into operational plans to help in getting the desired results
• Continuous process development, designing and implementation of new systems
• Coordinating with sales team and other departments of the group for new product launches
• Managing data authenticity on a day to day basis
• Ensuring regularization of all pending discrepancies with committed timeline and adherence to Clean Desk policy
• Assess the existing processes and bring in improvisation for better stakeholder experience
• DECISIONS
• Implementation of New Regulations issued by SEBI, RBI, FIU and AMFI from time to time.
• Operational Implementation of Swing Pricing – SEBI Guidance – Regular / Daily Monitoring
• Applicability of NAV Allotments to Investor & Two Factor Authorization
• Banking Relationship & Synergies with Digital Asset Creations
• CHALLENGES
• Process Adherence & Data Accuracy at RTAs End
• Completeness and Correctness of Distribution Commission Calculation
• Control on Regulatory Submissions – Unclaimed Amounts, Adhoc SEBI Requirement & PAN Validations

Internal Clients

Roles you need to interact with inside the organization to enable success in your day to day work

External Clients

Roles you need to interact with outside the organization to enable success in your day to day work

Graduate or Post-graduate in any discipline