Operations Executive

**Company Overview**:
We are a dynamic and growing securities firm providing innovative financial solutions to clients in the capital markets. We are seeking a highly organized and detail-oriented Operations Executive (MALE CANDIDATE) to support the smooth running of daily operational functions in our securities business. The Operations Executive will work closely with multiple teams to ensure that all securities transactions are processed efficiently and in compliance with industry regulations.

**Job Summary**:
The Operations Executive will be responsible for managing day-to-day operational tasks, ensuring accurate trade settlement, reporting, and compliance with regulatory requirements. This role requires a strong understanding of financial markets, securities products, and operational workflows in a securities firm.

**Key Responsibilities**:

- **Trade Processing & Settlement**:

- Monitor and ensure timely and accurate processing and settlement of securities transactions, including equities, bonds, and derivatives.
- Liaise with brokers, custodians, and other financial institutions to resolve any discrepancies in trade settlements.
- Ensure proper trade allocations and confirmation of trades with clients and counterparties.
- **Client Account Management**:

- Oversee the opening, maintenance, and closing of client accounts in compliance with internal policies and regulatory requirements.
- Manage the reconciliation of client positions and balances, ensuring accurate reporting of holdings and transactions.
- **Regulatory Compliance & Reporting**:

- Ensure all operational processes are conducted in compliance with relevant financial regulations (e.g., SEC, FINRA, MiFID II) and internal procedures.
- Prepare and submit regulatory reports, including trade and position reports, transaction confirmations, and other mandatory filings.
- **Operational Risk Management**:

- Identify and mitigate risks related to securities operations, ensuring that transactions are processed accurately and securely.
- Investigate and resolve operational issues such as trade breaks, settlement failures, and reconciliation discrepancies.
- **Systems & Process Improvement**:

- Utilize operational systems to monitor and track securities transactions and ensure timely processing.
- Collaborate with IT and other internal teams to suggest and implement process improvements, system enhancements, and automation tools to optimize efficiency.
- **Cash & Position Reconciliation**:

- Perform daily reconciliation of cash balances and securities positions across multiple systems and external accounts.
- Resolve discrepancies in a timely manner, ensuring that all positions and balances are accurate.
- **Client Communication & Support**:

- Serve as a point of contact for client inquiries related to operations, trade processing, and account information.
- Provide support for the resolution of client issues or concerns, including trade-related disputes or settlement delays.
- **Transaction Cost Analysis**:

- Assist in analyzing transaction costs, ensuring optimal execution of trades for clients and identifying opportunities to reduce operational costs.
- **Cross-functional Collaboration**:

- Work closely with trading, compliance, finance, and risk teams to ensure smooth and efficient execution of securities transactions.
- Assist the operations team in project work and other ad-hoc tasks as required.

**Qualifications**:

- Bachelor’s degree in Finance, Business, Economics, or a related field.
- Proven experience (1-4 years) in securities operations, trade settlement, or back-office operations within a financial services firm.
- FRESHERS can also apply.
- Strong understanding of financial instruments, securities trading processes, and industry regulations.
- Proficient in using financial systems and trading platforms.
- Excellent attention to detail with strong analytical and problem-solving skills.
- Strong communication skills, with the ability to collaborate effectively across teams and interact with clients.
- Ability to work well under pressure and meet deadlines in a fast-paced environment.
- Knowledge of industry-specific regulations (e.g., SEC, FINRA, MiFID II) is a plus.

**Preferred Qualifications**:

- Experience in securities operations within a brokerage, investment bank, or asset management firm.
- Familiarity with operational workflows in equity, fixed income, and derivative markets.
- Certification in operations or securities (e.g., Series 7, Series 63, or similar) is an advantage.

Pay: ₹12,000.00 - ₹20,000.00 per month

Schedule:

- Day shift

**Experience**:

- work: 1 year (preferred)

**Language**:

- English (preferred)

Work Location: In person