Stock Broker

Position: Equity & F&O DealerCompany: Kedia Infotech & Securities (J) Pvt. Ltd.

Department: Dealing Desk

Reporting To: Branch Manager / Director

Location: Kalyan, Maharashtra

About the CompanyKedia Infotech & Securities (J) Pvt. Ltd. is a professionally managed financial services company engaged in Equity Trading, Equity Derivatives (Futures & Options), Currency & Commodity Trading, Mutual Fund Distribution, Insurance, IPOs, Bonds, and other investment-related services.

The Company is committed to delivering transparent, ethical, technology-driven and client-centric financial solutions while maintaining the highest standards of regulatory compliance under SEBI, NSE, BSE, MCX, CDSL, NSDL and other applicable authorities.

Our objective is to build long-term relationships with clients by providing accurate execution, timely service, operational excellence, robust risk management and complete compliance.

Position SummaryThe Equity & F&O Dealer is responsible for executing client trades accurately and efficiently across Equity Cash, Equity Derivatives, Currency and Commodity segments while ensuring complete compliance with SEBI, Exchange regulations and internal company policies.

The Dealer shall maintain complete confidentiality of client information, ensure timely execution of trades, monitor margins and risk, maintain proper records, and provide exceptional client service without offering unauthorized investment advice.

• Key ResponsibilitiesA. Trade ExecutionExecute client orders promptly and accurately.
• Ensure best possible execution based on prevailing market conditions.
• Execute trades only after obtaining proper client authorization.
• Confirm client code before execution.
• Verify quantity, product type, exchange and order price.
• Avoid execution errors.
• Ensure zero unauthorized transactions.

B. Equity Cash MarketResponsible for execution of

• Delivery Orders
• Intraday Orders
• CNC Orders
• MIS Orders
• AMO Orders

Ensure proper confirmation after every execution.

C. Futures & OptionsExecute

• Index Futures
• Stock Futures
• Index Options
• Stock Options

Verify

• Expiry
• Strike Price
• Quantity
• Product Type
• Margin Availability

D. Currency & CommodityWhere applicable

Execute

• Currency Futures
• Currency Options
• Commodity Futures
• Commodity Options
• E. Client CommunicationReceive client orders professionally.
• Verify client identity.
• Repeat the order before execution.
• Inform executed price immediately.
• Inform pending orders.
• Inform rejected orders.
• Explain margin requirements whenever applicable.
• Maintain courteous and professional behaviour.

F. Margin & RMS MonitoringContinuously monitor

• Margin utilization
• Peak margin
• MTM losses
• Risk limits
• Exposure limits
• Exchange alerts
• RMS square-off alerts

Immediately communicate shortages to clients.

G. Regulatory ComplianceStrict adherence to

• SEBI Regulations
• NSE Rules
• BSE Rules
• MCX Rules
• Exchange Circulars
• Prevention of Money Laundering (PMLA)
• KYC Guidelines
• Internal Risk Management Policies
• Investor Protection Guidelines

H. DocumentationMaintain proper records of

• Client Orders
• Trade Confirmations
• Dealer Order Register
• Call Records
• Email Instructions
• WhatsApp Instructions (where permitted)
• Order Modification Records
• Client Communication

I. Client ServiceAssist clients regarding

• Holdings
• Open Positions
• Margin Availability
• Funds
• Ledger
• Pay-in
• Payout
• Corporate Actions
• Auction Information
• Settlement Process

J. CoordinationCoordinate efficiently with

• Compliance Department
• RMS Team
• Back Office
• Accounts Department
• DP Operations
• Mutual Fund Team
• Insurance Team
• Management

K. Market MonitoringMonitor

• Market Opening
• Global Markets
• RBI Announcements
• Budget
• Corporate Actions
• Quarterly Results
• Bulk Deals
• Block Deals
• FII/DII Activity
• Economic Events
• L. End-of-Day ActivitiesVerify all executed trades.
• Resolve discrepancies.
• Submit dealing reports.
• Verify pending orders.
• Check margin reports.
• Report operational issues.
• Complete daily reconciliation.
• Required QualificationsGraduate in Commerce, Finance, Economics or equivalent.
• NISM Series VIII – Equity Derivatives Certification (Preferred).
• NISM Series VII – Securities Operations & Risk Management (Preferred).
• Knowledge of NSE/BSE/MCX Trading Platforms.
• Basic knowledge of MS Excel and Office.
• Skills RequiredTechnical SkillsEquity Market
• Futures & Options
• Margin Calculations
• RMS Monitoring
• Trading Platforms
• Technical Analysis (Basic)
• Fundamental Market Knowledge
• Order Management System (OMS)
• Risk Management System (RMS)
• Behavioural SkillsExcellent Communication
• High Accuracy
• Client Relationship Management
• Decision Making
• Stress Management
• Time Management
• Discipline
• Integrity
• Professionalism

Code of ConductThe Dealer shall:

• Maintain strict confidentiality of client information.
• Never execute unauthorized trades.
• Never misuse client funds or securities.
• Never indulge in front running.
• Never indulge in insider trading.
• Never share confidential market information.
• Follow all company policies.
• Report suspicious transactions immediately.
• Maintain ethical standards at all times.

Key Result Areas (KRAs)KRAPerformance StandardTrade Execution Accuracy99.90% or higherUnauthorized TradesZero ToleranceDealer ErrorsZero financial loss due to dealer negligenceOrder Confirmation100% confirmation after executionClient Response TimeImmediate acknowledgement and prompt execution during market hoursMargin Monitoring100% timely communication of shortagesRMS Compliance100% adherenceRegulatory ComplianceZero compliance violationsTrade Documentation100% completeClient ComplaintsMinimal and resolved within defined timelinesDaily Reports100% submission before end of dayAttendance & PunctualityAs per company policyInternal AuditNo major observations attributable to dealing operationsKnowledge UpgradationCompletion of all mandatory compliance and product training

• Key Performance Indicators (KPIs)Total trades executed.
• Trade execution accuracy.
• Average order execution time.
• Number of client complaints.
• Number of execution errors.
• Compliance observations.
• Margin calls completed.
• Client retention.
• Client satisfaction score.
• Daily reporting compliance.
• Audit observations.
• Operational efficiency.
• Authority & LimitationsThe Dealer is authorized to:Execute client-authorized orders.
• Provide factual information regarding holdings, margins, positions, funds, settlements, and order status.
• Coordinate with internal departments for operational support.
• The Dealer is not authorized to:Provide investment advice unless separately authorized and qualified.
• Promise assured returns or guaranteed profits.
• Execute trades without explicit client instructions.
• Alter client orders without authorization.
• Share confidential client information.
• Override RMS restrictions without written approval.
• Operate client accounts using personal discretion.

Working HoursMonday to Friday: 9:00 AM – 6:30 PM (or as notified by the Company)

The Dealer may be required to work beyond regular hours during periods of high market activity, regulatory changes, system maintenance, month-end/year-end processes, IPOs, special trading sessions, or any business exigencies.

Probation Evaluation CriteriaDuring the probation period, performance will be assessed on:

• Product knowledge.
• Accuracy of order execution.
• Speed of execution.
• Knowledge of SEBI and Exchange regulations.
• Client communication skills.
• Compliance awareness.
• Documentation quality.
• Discipline and punctuality.
• Teamwork and coordination.
• Professional ethics.
• Overall performance.

This version is suitable for inclusion in your HR Manual, Offer Letter annexure, Appointment Letter, Employee Handbook, and SOPs for Kedia Infotech & Securities (J) Pvt. Ltd. It is written in a formal HR policy style appropriate for a regulated financial services organization.