Stock Broking
2 days ago
Responsibility:
KYC - To create and update client master in Broking and Exchange platforms
Coordination
a.
Coordination with Trading and Risk Team for Terminal mapping and segment activation
b.
Coordination with Custodians, Clearing member, Banks
CTCL Mapping
Daily Contracting, Billing, margin reporting, EOD reporting and reconciliation of exchange obligations
Maintain records of all broking related accounting entries
Operations related reporting
a.
Daily / Weekly/Monthly reporting
b.
Handling Audits or any regulatory queries independently and ensuring no incorrect information is reported to the Exchange.
c.
Reviewing Exchange circulars leading to business impact and implement
Working closely with COO Broking towards increasing efficiency, identifying gaps/ defects/errorsNew Technology implementationVendors - Interacting with Vendors on ongoing issues, new developments with cost analysis and implementationUAT testing and identifying functional defects and providing solutionsHaving exposure to handling Clearing member activities is a plus
Accountability: The person taking up this role would be accountable forOperations related regulatory reporting
a.
Daily / Weekly/ Fortnightly/Monthly reporting
b.
Handling Audits or any regulatory queries independently and ensuring no incorrect information is reported to the Exchange.
c.
Reviewing Exchange circulars leading to business impact and implementDaily Settlement reconciliationOn time error free executions across product linesEnsure compliance with applicable rules and guidelines across functions
Competencies:
Should have relationships with Regulators, Clearing CorporationsStrong entrepreneurial, interpersonal and networking skillsExpertise in institutional/ NRI/ Corporate client entire lifecycleQuery Handling and Resolutions
Skills Required:
Degree Holder in Finance or another related fieldRequisite NISM CertificationsMinimum 10+ years of experience in broking operation across functionsWorked in an Institutional Operations department in a Stock Broking Firm for 2+ yearsHands on experience in the software system used for broking such as LD/ Comptek.Additional experience in handling Clearing operations is a plus
Schedule:
- Day shift
**Experience**:
- total work: 3 years (preferred)
Work Location: In person
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