To understand and meet customers’ financial needs, execute trades seamlessly, and provide expert advice on a wide range of financial products and services, including broking, structured products, and third-party offerings such as mutual funds, loans, health insurance, and life insurance.
Key Responsibilities:
1. Client-Focused Trading & Execution
- Operate trading platforms for BSE, NSE, MCX, NCDEX (Equity-F&O, Commodities, and Currency segments) and execute orders per client instructions.
- Ensure accurate and timely documentation, including KYC and profiling of new clients.
- Manage the entire trading process, ensuring the efficient execution of transactions in equities, IPOs, and related products.
- Participate in daily research calls, updating clients with in-house research recommendations, and cautioning them against positional risks as per risk and research guidelines.
2. Compliance & Process Adherence
- Strictly follow the Deal Desk process and ensure compliance with risk management protocols, surveillance, and legal guidelines.
- Manage client accounts while maintaining the confidentiality and security of their investments.
- Adhere to all SEBI mandates and ensure pre-orders and confirmations are managed in line with regulations.
- Regularly monitor client margins and ensure that debits are collected on time to safeguard against potential financial risks.
3. Client Relationship Management
- Ensure that new clients are active within 7 days of account opening and receive seamless service from onboarding to trade execution.
- Facilitate the migration of clients to online trading platforms through demos and ongoing support, encouraging the use of mobile and web applications.
- Build long-term relationships with clients by following up on inactive/dormant accounts, enhancing their confidence in the trading process.
- Act as a single point of contact for client inquiries, providing prompt resolutions and ensuring high levels of trust and satisfaction.
4. Cross-Selling and Financial Advisory
- Participate in training sessions for a wide range of third-party products, including mutual funds, insurance, and loans.
- Identify and understand client financial needs, offering tailored advice and generating leads for cross-selling opportunities.
- Leverage ABC products and services to activate dormant accounts and create new business opportunities.
5. Risk Mitigation & Surveillance
- Ensure adherence to all risk management protocols, including the surveillance of trading activity, trade confirmations, and margin management.
- Implement mitigation strategies during market mishaps, ensuring minimal risk exposure for clients and the firm.
- Maintain a close watch on client positions to avoid unauthorized trades, and ensure trades are validated through end-of-day confirmations.
- Ensure proper mapping of equity advisor terminals to the respective advisor’s ID, and maintain awareness of the employee code of conduct.
Key Result Areas:
- Efficient Trade Execution: Seamless handling of client trades across platforms and compliance with regulatory requirements.
- Client Onboarding & Engagement: High conversion rate of new accounts into active traders within the first week, with continuous engagement of dormant clients.
- Cross-Selling Success: Effective cross-selling of financial products based on client needs, contributing to overall business growth.
- Risk and Compliance Management: Adherence to surveillance, legal, and compliance guidelines, minimizing financial risks and ensuring smooth operations.
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