Manager, Distribution Operations

Job Title: Manager, Distribution Operations

Position Summary

This position will be the local people leader of the Distribution Pune staff. This position will require using independent judgment and discretion to apply regulatory standards and ACA Foreside policy to the management role. This will require assisting in all department-required duties including affiliated broker-dealer specific compliance functions. This position will also interact with U.S. management.

Job Duties

1. Lead and manage the Distribution Business Unit's Pune servicing teams, ensuring effective execution of business objectives and reporting results to Distribution leadership.
2. Serve as the primary liaison between U.S. Distribution leadership, Pune-based staff, and ACA Pune leadership.
3. Represent the Distribution Business Unit during client engagements, leadership visits, and other ACA-related activities in Pune.
4. Collect, analyze, and present operational metrics, business reporting, and performance insights for Distribution leadership.
5. Maintain a strong understanding of applicable FINRA and SEC regulations and escalate actual or potential compliance concerns to appropriate leadership and Compliance partners.
6. Lead team meetings, training sessions, and other communications while reinforcing office expectations, procedures, and operational standards.
7. Partner with Distribution leadership to coordinate staffing, workload distribution, and resource planning while supporting team workflow as needed.
8. Identify and implement process improvements to enhance operational efficiency and service delivery.
9. Serve as the Supervising Principal for the Pune Office of Supervisory Jurisdiction (OSJ), ensuring appropriate supervisory oversight and regulatory compliance.
10. Perform other duties and special projects as assigned.
    
    

Education, Experience and Skills:

Required Education and Experience  

1. Bachelor’s degree, preferably with an emphasis in finance 
2. Minimum 10 years of management experience
3. Minimum 5 years related compliance experience 

Preferred Education and Experience

1. Broker-dealer experience, prior experience as a manager for compliance/marketing review or Operations preferred.
2. High-level understanding of SEC / FINRA Rules

Supervisory Duties Summary

This role will provide local supervisory oversight for all Distribution employees based in Pune, including employees who report through multiple Distribution leadership channels. In addition, the role will directly manage a defined portion of Pune-based employees who fall within the position’s assigned remit, providing day-to-day supervision, guidance, and support for those direct reports.

ACA Equal Opportunity Employer Statement

ACA is an equal opportunity employer. We conduct our business without regard to race, color, religion, sex, age, national origin, pregnancy, reproductive health decision making, familial status, marital status, sexual orientation, gender identity, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristics prohibited by law.