Broking Associate

2 weeks ago

Mumbai, India Riverforest Connections Full time

Incumbent to possess the following competencies:

1. Good knowledge of Project Management Processes and tools
- 2. Proficient on MS Excel, PowerPoint and Word
- 3. Good verbal and written communication with pleasing personality
- 4. Proactive and extremely high on initiatives
- 5. Self-starter - should be able to work with minimum supervision
- 6. Ability to work with data sets and reports
- 7. Should be able to think out of the box.
- 8. Should be hands on with LD / comtek or an equivalent back office system
- 9. Working knowledge of trading terminals is an added advantage.

Key Responsibilities:

- 1. Broking Operations
a. Create and update client master in broking system and on exchange platforms
- b. Coordinate with the trading and risk team for terminal mapping and segment activation
- c. Daily contracting, billing & margin reporting
- d. Coordinate with custodian, clearing member, banks and fund manager for trade settlement and payin & payout of securities
- e. Maintain records of all broking related accounting entry
- f. Operations related compliance reporting such as weekly holding statement upload, client funds and securities upload
- h. Understand all broking related process & operation, break them down to identify defects & optimize the same increase efficiency

2. Implementation of Exchange Circulars
a. Understanding of the circulars released by the Exchange
- b. Coordinating with the teams to implement the same
- c. Keeping track of all the deadlines related to the said circular

3. Technology implementation
a. Interacting with the vendors, communicating business needs, cost analysis & implementation of the same
- c. Quality /UAT Testing - Functional analysis of the UAT Defects & recommend solutions/ provide inputs for defects resolution.

4. Internal / Regulatory Audit
a. Independently coordinate with auditors and compliance team to manage the various audits
- b. Coordinate with all the necessary teams to fetch the required data for the audit and provide the same to the auditor
- c. Carefully read & understand all the audit points and make sure no incorrect information is being reported to the exchange.

**Background**:

- 1. Degree holder (or in progress) in finance, accounting, or other related field
- 2. Worked in Institutional Operations department in a stock broking firm
- 3. Hand on experience in the software system used for broking such as LD/Comptek/TCS

**Skills Required**:
Broking Associate;stock broking;Internal / Regulatory Audit;UAT Testing;Broking Operations

**Location**

Mumbai

**Years Of Experience**

3 to 5 Years

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