• Monitored changes in laws and regulations and ensured timely adjustments to policies and procedures.• Prepared and submitted regulatory filings and reports to regulatory authorities, ensuring accuracy and completeness.• Prepare daily MIS reporting for the management• Perform settlement activities of daily trading activities• Prepare and report CAS (Client Asset Segregation) Statement on periodic basis• Finalize CAS on fortnightly basis for reporting purpose.• Daily Bank Reconciliation.• Ensure proper record keeping of AOF and scanned documents of clients• Prepare quarterly and annual AML report

Duties and Responsibilities:• Maintain the funding/Liquidity position of the company• Bank reconciliation of bank accounts of company• Make all the payments • Calculation of withholding tax for payments to vendors• Reconcile vendors• Reconcile zonal petty cash• Record payment vouchers • Recording of closing entries• Ensure internal controls and compliances• Arrange documentations related to Running Finance facility, Letter of Guarantee• Assist in various matters during annual audit• Deal with all the banking related queries• Co-ordination with bank for discrepancies.

Serving as an Assistant Manager in the Finance department of IGI Securities, reporting to chief accountant. My scope of work includes all major areas of finance accounting in the brokerage sector.KEY RESPONSIBILITIES: Maintain the funding/liquidity position for the house Control payments and receipts of individual and institutional clients Payment and Receipts with KSE, LSE, NCSS and PMEX Bank Reconciliations of banks accounts for IGI Reconciliation of GL codes/ Submission of Tax Challan/ Petty Cash Handling

Maintain the sufficient Exposure in KSE and LSE during trading hours for smooth trading without any interruption.Incorporate data of KSE, LSE (KATS, LOTS, NCHS, LSS and other related systems) on Oracle based Software.Maintaining Fund Flow and Trial Balance/ position of Investment of the house / Bank ReconciliationDeal with other Brokerage house for the settlement of T+0 transactions.Delivery to NCCPL, Pledge and Release from KSE and LSE.Movement of Shares from Intra and Inter participant accounts.Deal with KSE, LSE and CDC for settlement of daily transactionsPrepare General Journal and Ledger balances.