Job Description
Responsibilities:
• Price Upload: Uploading Bhav copy stock prices of underlying Securities & NAV updation
• Looking after daily process of risk management team i.e. Trade modification, review of limits given, price rigging, scrip violations, trade matching, circular trading, etc.
• Reporting periodic information including MIS on suspicious transaction to Seniors Management to mitigate risks
• Preparation & Submission of Half Yearly & Yearly Exchange and SEBI audit data related to Surveillance
• Opening Trading account for Individuals, Corporate, Institutions, and HUF
• Updating Unique Client Code (UCC) to Exchanges NSE / BSE
• Preparing GST report, Stamp Duty report of NSE,BSE from back office software
• Processing of Pay in & Pay out of securities for NSE/BSE
• Early Pay-in of shares to the Exchanges, NSE/BSE
• Early Pay-in of Funds to the Exchanges, NSE/BSE
• Attending branch queries and client queries related to Pay in or Pay out of shares, Client holding, etc.
• Stock Reconciliation of the stock held for debit purpose on monthly basis
• Dividend Reconciliation of the stock held during the record date for debit purpose and for collateral on monthly basis
• Maintaining records and Updating POA Agreement for Auto Pay in facility
• Quarterly Retention of Securities
• Weekly reporting to exchanges, Client Detail Asset with stockbroker, under enhanced supervision along with compliance officer
• Monthly reporting to exchanges, client funds and securities balances as on last day of the month, under enhanced supervision along with compliance officer
• Risk Based Supervision, half-yearly basis along with compliance officer
• Trading Member Holding, quarterly basis
• Reporting Quarterly Compliance Certificate along with Compliance officer
• Reporting Client Funding to Exchanges on Monthly basis
• Verifications of DIS such as Delivery Out, Account Transfer, Inter Depository, Inter-settlements, CM Pool Transfer
• Entering DIS such as Delivery Instructions for Market Trades, Off Market, Inter Depository, Inter-settlement. CM-Pool A/C Transfer
• Processing Trade File for daily transactions
Requirements:
• Skilled in MS Excel, Outlook and Word
• Understanding of stock broking operations and above average skills in reconciliation and settlement activity
• Graduate Degree in Commerce
• Passionate, driven and result oriented
• Minimum 1 to 3 years of prior work experience in stock broking operations
• Proficient in written English and communication skills
• Good analytical and interpersonal skills
Applicants are invited to email us a comprehensive resume with qualifications, skills and working experience, and expected salary to The Human Resource Manager at [email protected]
All applications will be treated in strict confidence. We regret that only shortlisted applicants will be notified. Applicants who have written to us earlier need not re-apply.
Note: Job responsibilities/requirements are representative and are not intended to be a detailed list. Other tasks/abilities may be required of the incumbent, relative to the specific assignment
• Price Upload: Uploading Bhav copy stock prices of underlying Securities & NAV updation
• Looking after daily process of risk management team i.e. Trade modification, review of limits given, price rigging, scrip violations, trade matching, circular trading, etc.
• Reporting periodic information including MIS on suspicious transaction to Seniors Management to mitigate risks
• Preparation & Submission of Half Yearly & Yearly Exchange and SEBI audit data related to Surveillance
• Opening Trading account for Individuals, Corporate, Institutions, and HUF
• Updating Unique Client Code (UCC) to Exchanges NSE / BSE
• Preparing GST report, Stamp Duty report of NSE,BSE from back office software
• Processing of Pay in & Pay out of securities for NSE/BSE
• Early Pay-in of shares to the Exchanges, NSE/BSE
• Early Pay-in of Funds to the Exchanges, NSE/BSE
• Attending branch queries and client queries related to Pay in or Pay out of shares, Client holding, etc.
• Stock Reconciliation of the stock held for debit purpose on monthly basis
• Dividend Reconciliation of the stock held during the record date for debit purpose and for collateral on monthly basis
• Maintaining records and Updating POA Agreement for Auto Pay in facility
• Quarterly Retention of Securities
• Weekly reporting to exchanges, Client Detail Asset with stockbroker, under enhanced supervision along with compliance officer
• Monthly reporting to exchanges, client funds and securities balances as on last day of the month, under enhanced supervision along with compliance officer
• Risk Based Supervision, half-yearly basis along with compliance officer
• Trading Member Holding, quarterly basis
• Reporting Quarterly Compliance Certificate along with Compliance officer
• Reporting Client Funding to Exchanges on Monthly basis
• Verifications of DIS such as Delivery Out, Account Transfer, Inter Depository, Inter-settlements, CM Pool Transfer
• Entering DIS such as Delivery Instructions for Market Trades, Off Market, Inter Depository, Inter-settlement. CM-Pool A/C Transfer
• Processing Trade File for daily transactions
Requirements:
• Skilled in MS Excel, Outlook and Word
• Understanding of stock broking operations and above average skills in reconciliation and settlement activity
• Graduate Degree in Commerce
• Passionate, driven and result oriented
• Minimum 1 to 3 years of prior work experience in stock broking operations
• Proficient in written English and communication skills
• Good analytical and interpersonal skills
Applicants are invited to email us a comprehensive resume with qualifications, skills and working experience, and expected salary to The Human Resource Manager at [email protected]
All applications will be treated in strict confidence. We regret that only shortlisted applicants will be notified. Applicants who have written to us earlier need not re-apply.
Note: Job responsibilities/requirements are representative and are not intended to be a detailed list. Other tasks/abilities may be required of the incumbent, relative to the specific assignment
💡 Quick Summary
Seeking a career-building opportunity? The Broking Operations Executive position is now open for candidates interested in the Accountant Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Accountant Jobs is a plus.
