Team Lead – Registrar And Transfer Agent

Company Overview

The organization is a leading financial services platform specializing in investor servicing, fund administration, trustee services, and registrar & transfer agent (RTA) operations. It provides end-to-end operational and compliance support to asset management companies, alternative investment funds, portfolio managers, and institutional clients across capital markets.

With a strong focus on regulatory compliance, operational accuracy, and technology-driven solutions, the company manages critical back-office functions including investor onboarding, transaction processing, record maintenance, reporting, and reconciliation services. The organization operates within a robust governance framework aligned with industry regulations and best practices.

Leveraging domain expertise, advanced systems, and experienced professionals, the company delivers scalable and secure solutions that enhance transparency, efficiency, and investor experience. Its service model emphasizes process excellence, risk management, and continuous innovation to support the evolving needs of the financial services ecosystem.

JD

The Team Lead RTA will be responsible for managing end-to-end registrar and transfer operations, ensuring accurate processing of investor requests, regulatory compliance, and delivery of high-quality service standards. The role involves team supervision, process governance, stakeholder coordination, and continuous improvement of RTA operations.

Operational Management

Oversee day-to-day RTA operations including investor servicing, transaction processing, and record maintenance.

Ensure timely and accurate processing of investor requests such as account modifications, transmission, nomination, KYC updates, dividend and redemption queries, and unit transfers.

Monitor SLA adherence and maintain defined TAT benchmarks.

Review exception reports and drive closure of pending cases. Team Leadership

Lead, coach, and mentor team members to achieve productivity and quality targets.

Conduct regular performance reviews, feedback sessions, and capability building initiatives.

Drive workforce planning, shift management, and workload allocation.

Foster a high-engagement and high-accountability team culture. Quality & Compliance

Ensure adherence to regulatory guidelines and internal policies applicable to RTA operations.

Maintain audit readiness and support internal and external audits.

Monitor error trends and implement corrective and preventive actions (CAPA).

Promote strong data accuracy and documentation standards. Stakeholder Management

Act as a key point of contact for internal teams, clients, and external partners.

Handle escalations and provide timely resolution to investor grievances.

Support management with MIS, dashboards, and performance reporting.

Collaborate with technology and process teams for system enhancements. Process Improvement

Identify opportunities for automation and process optimization.

Drive continuous improvement initiatives to enhance customer experience and operational efficiency.

Standardize SOPs and ensure process documentation is up to date. Key Performance Indicators (KPIs)

SLA / TAT adherence

Transaction accuracy and error rate Audit observations / compliance score

Investor grievance resolution timelines

Team productivity and utilization

Process improvement initiatives delivered Qualifications & Experience

Graduate in Commerce, Finance, Business Administration, or related field (MBA preferred).

610 years of experience in RTA / Mutual Fund / Broking / Financial Services operations.

Minimum 23 years in a team handling role.

Strong understanding of investor servicing and transaction lifecycle. Required Skills & Competencies

Strong knowledge of RTA processes and regulatory environment

Team leadership and people management

Analytical and problem-solving ability

Attention to detail and quality orientation

Stakeholder management and communication skills

Proficiency in MS Excel and MIS reporting

Process improvement mindset Behavioral Competencies

High ownership and accountability

Customer-centric approach

Strong governance mindset

Ability to work under deadlines

Collaborative and solution-oriented Compliance Statement The role requires adherence to all applicable company