Broking Associate
4 days ago
From 3 to 5 year(s) of experience
- ₹ Not Disclosed by Recruiter
- Mumbai**Roles and Responsibilities**
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
- Role:_Stock Broker
- Salary:_ Not Disclosed by Recruiter
- Industry:_Financial Services
- Functional Area_BFSI, Investments & Trading
- Role Category_Trading, Asset & Wealth Management
- Employment Type:_Full Time, Permanent
- Key Skills- UAT Testingstock brokingBroking AssociateInternal / Regulatory AuditBroking OperationsEducation
- UG:_B.Com in Any Specialization
- PG:_MBA/PGDM in Finance
**Company Profile**:
RiverForest Connections Private Limited
- Company is in Financial Services.- Company Info- X- Recruiter Name:_Gunjan Rai
- Contact Company:_RiverForest Connections Private Limited
- Telephone:_
9039318609
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