Job Profile and Work Summary:a) Creation of process manuals.b) Charting out risk related strategies in line with the overall business plans for Capital & Commodities market operations.c) Evaluate a business unit when either risks or control conditions change significantly. d) Carryout marketing activities and campaign through sales force. Timely explementation of business strategies to increase market share.e) Leading and managing multiple teams in support functions &… Show more Job Profile and Work Summary:a) Creation of process manuals.b) Charting out risk related strategies in line with the overall business plans for Capital & Commodities market operations.c) Evaluate a business unit when either risks or control conditions change significantly. d) Carryout marketing activities and campaign through sales force. Timely explementation of business strategies to increase market share.e) Leading and managing multiple teams in support functions & meeting business objective and target achievements.f) Communication of issues and status of corrective action plan.g) Successful implementation of eKYC (Aadhaar based KYC) process wherein the Customers across PAN India registered electronically and instantly. h) Building and Maintaining healthy business relations with Exchanges, Banks, Corporates ensuing highest satisfaction matrices. i) Mentored and Developed a Strong Team for all Departments of the organization.* Audit & Inspections :1) Individually Handling Stock Exchange Inspections – NSE, BSE, MCX. Depository Inspections – CDSL & SEBI Inspections. Completed the Audits with clean chit without paying penalty. b) Co-ordination with Internal Auditors & System Auditors for timely submission of Reports to All the Exchanges and Depositories. * Accounts, HR & MIS Activities : Manage, Administer and Monitor the activities of i) Pay-in and Pay-out of Funds of Clients and Exchange Settlement accounts. Timely remittance of TDS & Service Tax payments claiming the Cenvat.ii) Treassury Management of Fund Operations – generating additional interest revenuesScrutinizing the Profiles of the Candidates, Issuance of Offer Letter, Appointment Letter, Relieving and Experience Letters. iii) Developing and Submission of various MIS on Weekly and Monthly basis with regard to Business Development, Investments etc., Show less

Organisation Profile: Financial Services Industry dealing in Securities and Commodities. The promotor of the Company brings transformation in broking industry with focus and passion for online broking.As a Head of operations, responsible for over all functioning, Co-ordination with Exchanges, manage the relationship between the business and external vendors.Specialities: Expertise in charting out risk related strategies in line with the overall business plans for the… Show more Organisation Profile: Financial Services Industry dealing in Securities and Commodities. The promotor of the Company brings transformation in broking industry with focus and passion for online broking.As a Head of operations, responsible for over all functioning, Co-ordination with Exchanges, manage the relationship between the business and external vendors.Specialities: Expertise in charting out risk related strategies in line with the overall business plans for the brokerage firms. Handling operational risk audits, Regulatory audits, due diligence assignments.Hands-on experience in managing operations as per regulatory requirements and leading best practice.Possesses a problem solving and entrepreneurial attitude, backed by sharp analytical and decision-making skills.Creation of process manuals. Key Competencies: Ensure business units adhere with laws, regulations, client contracts and corporate policies.Evaluate a business unit when either risks or control conditions change significantly.Established quality audits and refresher training process and program for the entire operational functions of the organization.Leading and managing multiple teams in support functions & meeting business objective and target achievements.Multiple Task Handling & Adept on ensuring customer satisfaction. Communication of issues and status of corrective action plan. Show less

RISK MANAGEMENT & OPERATIONS:Taking care of Risk Management and Operations of Tamil Nadu & Kerala Region. Responsible for Account Opening, KYC Change Updations and back office operations (Pay-in & Pay-out of Funds & Securities) by ensuring zero deficiencies in accounts Ensuring proper adherence of Risk Management Policies which results in reduction of bad debits and client outstanding.BUSINESS DEVELOPMENTAL ACTIVITIES FOR FRANCHISEES INCLUDE: 1. Conducting… Show more RISK MANAGEMENT & OPERATIONS:Taking care of Risk Management and Operations of Tamil Nadu & Kerala Region. Responsible for Account Opening, KYC Change Updations and back office operations (Pay-in & Pay-out of Funds & Securities) by ensuring zero deficiencies in accounts Ensuring proper adherence of Risk Management Policies which results in reduction of bad debits and client outstanding.BUSINESS DEVELOPMENTAL ACTIVITIES FOR FRANCHISEES INCLUDE: 1. Conducting Educational Seminars for franchisee for client acquisition. 2. Conducting Market Updation programs to activate existing clients 3. Client Profiling as a part of strategy to increase revenue. 4. Meeting top performing clients of the franchisees during quarterly visits. 5. Marketing and Promotional activities for franchisees. 6. Monitoring and Evaluating Performance on regular interval.TRAINING PROGRAMS FOR FRANCHISEE EMPLOYEES ON: 1. For Dealers on information dissemination and client management. 2. Soft Skill Training, KYC and Risk Management System. 3. Compliance and Statutory Requirements. 4. Product Training to enhance and sharpen knowledge. 5. Cross Selling – MF and Structured Products through Channel Partners. 6. Promote NBFC Products like – MTF, LAS• Updation of various Compliance Reports to HO and submission of Audit observation reports to HO on branches and Franchisees on prescribed intervals. • Close co-ordination with Internal Audit Team representing the Regions and ensuring narrowising notified gaps and complying those within stipulated time frame Show less

Revenue Generation and Client Acquisition.Dealing Operations in NSE Trading TerminalTaking care of Risk Management and Operations including Pay-in and Payout of Funds and Securities

Executing Purchase and Sale of Shares through Outcry mode by attending Floor