Financial Operations Specialist

2 days ago


Mumbai, Maharashtra, India Peoplemint Consultants Full time
Job Description

We are seeking a highly organized and detail-oriented Financial Operations Specialist to join our team at Peoplemint Consultants. In this role, you will be responsible for ensuring smooth financial operations, supporting channel partners, handling transaction-related queries, and ensuring compliance with industry regulations.

Key Responsibilities:
  1. Financial Support:
  • Process and settle client transactions, including equities, commodities, and derivatives, ensuring compliance with regulatory requirements.
  • Maintain and update client portfolios, ensuring accuracy in transaction records and account balances.
  • Reconcile and resolve discrepancies in trading positions, funds, and margins.
  • Assist in the settlement of trades, dividends, corporate actions, and security transfers.
  • Monitor and maintain proper documentation for all client transactions and interactions.
  • Generate and distribute daily, monthly, and quarterly reports related to client accounts, trades, and portfolio performance.
Channel Support:
  • Provide operational support to the sales and trading teams to ensure seamless execution of client transactions.
  • Work closely with channel partners (such as wealth managers, financial advisors, and sub-brokers) to resolve operational issues, ensuring smooth trading and investment processes.
  • Address inquiries related to client accounts, transaction status, margins, and compliance.
  • Assist channel partners in navigating internal systems for trade execution, reports, and transaction history.
  • Ensure timely communication with external stakeholders to facilitate smooth onboarding, documentation, and regulatory compliance for clients.
Transaction Management:
  • Verify and confirm client orders, ensure that all executed trades are promptly reflected in the client's portfolio.
  • Monitor margin accounts and ensure proper margining practices are followed.
  • Ensure the correct application of commissions, fees, and taxes on all transactions.
  • Support the processing of corporate actions, such as dividends, stock splits, and rights issues.
Client & Partner Liaison:
  • Act as the primary point of contact for client-related back-office queries, such as account status, trade details, and account statements.
  • Collaborate with the compliance and legal teams to ensure that all client accounts are in line with regulatory requirements.
  • Ensure that all customer communications are handled professionally and promptly.
Compliance & Regulatory Support:
  • Ensure that all processes comply with SEBI (Securities and Exchange Board of India) regulations, NSE, BSE, and other relevant regulatory bodies.
  • Monitor and ensure compliance with anti-money laundering (AML) and Know Your Customer (KYC) procedures.
  • Support in the implementation and adherence to internal policies and regulatory guidelines.
  • Maintain accurate records for audit purposes and regulatory reporting.
Reporting & Documentation:
  • Prepare, process, and distribute various reports related to trading activities, settlements, margins, and client portfolios.
  • Ensure the timely submission of regulatory reports as required by SEBI, exchanges, and other regulatory bodies.
  • Maintain accurate and up-to-date records of client accounts, transactions, and operational processes.
Process Improvement:
  • Identify areas for improvement in back-office processes and implement solutions to streamline operations.
  • Recommend and assist with the integration of technology tools to enhance operational efficiency, such as automation of trade settlement or client reporting.


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