Operations & Client Associate

Role Overview

We are looking for a detail-oriented and committed associate to manage day-to-day operational activities in our stock broking firm. The candidate will be responsible for client onboarding, KYC, DP operations, compliance, and reporting. The role requires strong organizational skills, accuracy, and knowledge of capital market operations.

Key Responsibilities

1. Client Onboarding & KYC

• Handle account opening for clients (demat, trading, and combined accounts).
• Verify and process client KYC as per SEBI, NSE, BSE, and CDSL/NSDL norms.
• Manage modifications in client details (address, bank, email, nominee, etc.).
• Ensure proper documentation and audit readiness.

1. Depository Participant (DP) Operations

• Manage dematerialization/rematerialization of physical shares.
• Process pledge, unpledge, and transfer of securities.
• Handle corporate actions, settlement instructions, and reconciliation.

1. Compliance & Regulatory Reporting

• Maintain compliance with SEBI, Exchanges, and Depositories’ guidelines.
• Assist in periodic filings, returns, and statutory reporting.
• Maintain records for audits and inspections.

1. Client Relationship Management

• Address client queries related to account operations, KYC, and DP services.
• Provide back-end support to Relationship Managers/Dealers.
• Ensure smooth resolution of client requests and grievances.
• Design & build processes to ensure incremental value to clients.

1. Operational & MIS Reporting

• Generate daily/weekly/monthly MIS and operational reports.
• Maintain transaction records, reconciliation statements, and back-office data.
• Support management in decision-making with accurate reports.

Skills & Qualifications

• Graduate/Postgraduate (Commerce/Finance preferred).
• 1–3 years of experience in stock broking/back-office operations (freshers with strong knowledge may be considered).
• Strong understanding of stock broking operations, KYC norms, and DP processes.
• Knowledge of SEBI regulations, Exchanges (NSE/BSE), and Depositories (CDSL/NSDL).
• Proficiency in MS Excel, reporting tools, and back-office software.
• Good communication skills (written & verbal).
• Eye for detail, accuracy, and ability to work under deadlines.
• Strong commitment to proactive problem-solving and independent action.

What We Offer

• Exposure to end-to-end broking operations.
• Learning opportunities across compliance, DP, and reporting functions.
• Growth-oriented career path in capital markets.
• Support for professional certifications relevant to the industry (e.g., NISM Series V-A / Depository Operations).
• Competitive compensation and employee-friendly policies.