Operations – Broking

1 week ago

mumbai, India Arin Consultancy Private Limited Full time

Qualification: Graduate and added advantage for a CA Intermediate candidate

Should have worked and supervised on the following processes:

Require candidates from Stockbroking companies. Well versed with the exchange compliances with regard to Stockbroking. Major areas of work involve NSE Compliance Related Work, i.e. Internal Audit Report, Net-worth Certificate, RBS, Settlement of Accounts, Enhanced Supervision, Statement of Holding, Payin-Payout Shortage Report, Uploading of clients mapped with Authorized Persons (AP), client level Cash and Cash Equivalent Balances and Bank account balances, KRA and CKYC etc. Segregation and Monitoring of Collateral of client level, Handling independently various Exchange Inspections, SEBI Inspections, and System Audits & SEBI Internal Audit (Back Office Operations) Daily, Weekly, Monthly, quarterly, Half Yearly and Yearly all submission in Member Portal. Timely submission of all reports. Registration and Cancellation of Authorized Persons (AP). Conducting Authorized Persons (AP) Inspection. On ENIT Member Portal, CTCL and NEAT ID Creation and Cancellation. Verification & Activation of New Client Accounts, Online UCI Activation and CKYC. Co-ordination with Back-Office Staff. Reporting to HOD. Maintaining All Records Regarding DIS, DRF, Pledge and Un-pledge, POA, Nominee & All. Account Opening, Account Modification, Account Closure, Account Transfer, Freeze and Unfreeze, Pledge and Unpledged & POA Link. Online Custodian STP, Custodian related back-office work. Familiar with exchange trade settlement processes. C KYC Process and upload of Documentation of clients. Uploaded Enhanced Supervision (half yearly) Details Of Client Assets in NSE BSE MCX ICEX (Weekly/ Monthly) Standard Holding Report uploaded in NSE BSE. Handling entire trading account KYC Process and CVL-KRA /NDML KRA AND DOTEX KRA Documentation of clients. Online IPO BID AND BUYBACK offer BID in NSE BSE Downloading of all the required files from the BOLT and FTP for daily process. Supervising the process of Printing of Contract Notes and Bills & sending client email through endorser. Organizing for settlement obligation for NSE and BSE Cash Segment and F&O segment. Account Modification, DIS, Demat, Remat, Pledge, Unpledge, Freeze, Unfreeze, Pay in – Pay out, Handling of All the Demat Transaction in pay-in & pay-out to national stock exchange (NSE) & Bombay stock exchange (BSE) Early Pay-In of Shares.

Additional Skill Sets:

Self-confidence, self-motivated and positive minded. Conduct a high level of dependability & trust. Meeting people and maintaining good interpersonal relationship. Strong Communication skills. Judgmental and Problem Solving. Planning and organizing. In depth knowledge, hands on experience of the above functions and at least 3 – 5 years of managerial experience

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