Ownership mentality, responsibilities included all aspects of the broking division including from Client management to Compliance.Client management: Maintained and developed trusted relationships with High Net worth clientele both corporate and individual Compliance: from KYC being the starting point of the customer interface to procedures for AML on the regulatory frontTrading room: premarket activities from margin calculations and exposures to trading activities from order cancellation to order confirmation and trade reconciliationAccounting: Reconciliation of bank accounts and depository accounts , so as to ensure smooth settlement obligation

As a Associate at this boutique Investment bank my role required an understanding of the financial statements for prospective Investments in companies ranging across sectors, including company visits to understand the business to analysis of financial statements and forecasting future growth based on assumptions determined from past performances.Preparation of Investment reports, presentation of the same to clients both institutional and individual

A boutique start up stock broking firm , advising on equity investments to retail investors registered as a broker dealer with the National stock exchange of India• Ensuring smooth operations of the business • Built a successful stock broking business from the ground up annual business of 70M+ USD comprising of 80% day trades and 20% investments• Managed and developed a strong customer base of over 200+ active clients and established trusted advisor type relationships with them.• Provided stock quotes and market news to customers, resulting in, order entry, order modification and or order cancellation., followed up with trade confirmations by email /phone or fax• Provided customer service for all aspects of the account inclusive of account activity , by pulling up history when necessary• Accepted and issued all checks, and accepted and transferred all stock certificates, both physically and electronically ; reconciled the same before settlement and followed up with any delinquencies • Maintain all records of dividend received and corporate actions credited to clearing account and reconcile the same with respective recipients. • Daily Accounting and bookkeeping functions as partner of the firm , inclusive of weekly bank reconciliation, daily valuations on stocks deposited as margins , cash and petty cash management• Prepared all Contract notes and Invoices and ensured their timely dispatch by email or courier