Broking Operations Executive

3 weeks ago

Mumbai, India iFAST Financial India Full time

**Responsibilities**:

- Price Upload: Uploading Bhav copy stock prices of underlying Securities & NAV updation
- Looking after daily process of risk management team i.e. Trade modification, review of limits given, price rigging, scrip violations, trade matching, circular trading, etc.
- Reporting periodic information including MIS on suspicious transaction to Seniors Management to mitigate risks
- Preparation & Submission of Half Yearly & Yearly Exchange and SEBI audit data related to Surveillance
- Opening Trading account for Individuals, Corporate, Institutions, and HUF
- Updating Unique Client Code (UCC) to Exchanges NSE / BSE
- Preparing GST report, Stamp Duty report of NSE,BSE from back office software
- Processing of Pay in & Pay out of securities for NSE/BSE
- Early Pay-in of shares to the Exchanges, NSE/BSE
- Early Pay-in of Funds to the Exchanges, NSE/BSE
- Attending branch queries and client queries related to Pay in or Pay out of shares, Client holding, etc.
- Stock Reconciliation of the stock held for debit purpose on monthly basis
- Dividend Reconciliation of the stock held during the record date for debit purpose and for collateral on monthly basis
- Maintaining records and Updating POA Agreement for Auto Pay in facility
- Quarterly Retention of Securities
- Weekly reporting to exchanges, Client Detail Asset with stockbroker, under enhanced supervision along with compliance officer
- Monthly reporting to exchanges, client funds and securities balances as on last day of the month, under enhanced supervision along with compliance officer
- Risk Based Supervision, half-yearly basis along with compliance officer
- Trading Member Holding, quarterly basis
- Reporting Quarterly Compliance Certificate along with Compliance officer
- Reporting Client Funding to Exchanges on Monthly basis
- Verifications of DIS such as Delivery Out, Account Transfer, Inter Depository, Inter-settlements, CM Pool Transfer
- Entering DIS such as Delivery Instructions for Market Trades, Off Market, Inter Depository, Inter-settlement. CM-Pool A/C Transfer
- Processing Trade File for daily transactions

**Requirements**:

- Skilled in MS Excel, Outlook and Word
- Understanding of stock broking operations and above average skills in reconciliation and settlement activity
- Graduate Degree in Commerce
- Passionate, driven and result oriented
- Minimum 1 to 3 years of prior work experience in stock broking operations
- Proficient in written English and communication skills
- Good analytical and interpersonal skills

**Note**: Job responsibilities/requirements are representative and are not intended to be a detailed list. Other tasks/abilities may be required of the incumbent, relative to the specific assignment.

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