Broking Operations Executive
Mumbai | 1 to 3 years of experience


  • 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.


  • 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