Interview Process:
· Post CV Screening Pravena More will provide a time slot to connect your candidate for a con call
· Post her short listing, candidate’s profile will be shared with the client
· Source candidates who can join immediately or with maximum 15 days’ Notice Period
· Relocating Candidates not considered
- Feedback TAT – 8 Working days
· Work from Home .
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Sr. No. |
Candidate Name |
Location |
Total Experience |
Relevant Experience |
Current Company |
Current Designation |
Current CTC |
Expected CTC |
Notice Period |
Reasons To Quit |
Communication Skills on the scale of 10 |
Domain Knowledge on the scale of 10 |
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Previous Company 5 |
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Company Website: https: //www.firstglobalsec.com/
FG manages nearly $600 million in domestic India and Global assets, from thousands of small, medium and large investors, and this is growing rapidly because of our game-changing unique and proprietary Human + Machine investment model which delivers far better returns than traditional fund managers, with far lower risk. First Global has built one of the world's most advanced quantitative investech engines, using artificial intelligence and machine learning, called the FG Exotech. This engine powers the entire Investech business for FG, worldwide. Our clients come from all over the world: India, Asia, Europe, UK, US. First Global is India's most innovative, forward-thinking , tech- driven Investment management Firm. Blazing a trail of creative thinking, seeing trends ahead of the crowd, identifying major inflection points in companies, sectors, countries, regions and asset classes, First Global stands apart from the rest. First Global's research and ideas have been covered in major US, European and Asian publications like Wall Street Journal, CBS Market Watch, Forbes, Business Week, Bloomberg, Financial Times, Finance Asia, Etc. and rated very high in Institutional Surveys. First Global has been globally awarded by prestigious global rating companies such as AsiaMoney, Thomson Reuters- Starmine, Etc.
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Job Code |
JC/1954 |
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Process |
Finance |
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Gender |
Male / Female |
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No. of Positions |
1 |
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About Process |
Well versed with the exchange and SEBI compliances with regard to PMS, AIF, AMC, Retail broking |
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Handling independently various Exchange Inspections, Independently SEBI Inspections, and System Audits & SEBI Internal Audit |
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Solving all types of customer and branch queries relating to Account Opening, Settlements, Trading, Billing, brokerage structures and changes, etc. |
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Supervising of Client detail about SEBI, all intranet and mail received and reply related work etc. |
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Details Of Client Assets in NSE BSE MCX ICEX (Weekly/ Monthly) |
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Standard Holding Report uploaded in NSE BSE, Dividend Processing of Client. |
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Handling entire trading account KYC Process and CVL-KRA /NDML KRA AND DOTEX KRA Documentation of clients. |
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Supervising the process of Printing of Contract Notes and Bills & sending client email through endorser |
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Downloading of all the required files from the BOLT and FTP for daily process. |
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Organizing for settlement obligation for NSE and BSE Cash Segment and F&O segment |
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Functioning of Broking & Depository’s Account Opening section, Scrutiny and authentication of forms |
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Account Modification, DIS, Demat, Remat, Pledge, Unpledge, Freeze, Unfreeze, Pay in - Pay out |
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Supervising Preparation of DEMAT instructions for Settlement & Client Transfer |
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Operating Of ‘LD Software’, Taking daily backup of front & back office, |
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Entire Trade process of segment of BSE CASH,BSE Currency, NSE CASH,NSE CURRENCY & NSE F&O ,MCX ,ICEX |
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Handling of All the Demat Transaction in pay-in & pay-out to national stock exchange (NSE) & Bombay stock exchange (BSE) |
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Solving the queries of clients in completing the documentation process for opening of demat account. |
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Title |
Manager Compliance Operation |
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Location |
Mumbai - Vashi |
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Requirement |
Good Communication skills in English (8/10) |
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7-10 years in the similar field |
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Handling Independently DP Audit |
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Independently handling all Compliances related to DP & Exchanges. |
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All Grievance Solving, Maintenance of all type of Registers online or offline, |
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C KYC Process and upload of Documentation of clients. |
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Uploaded Enhanced Supervision |
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Online IPO BID AND BUYBACK offer BID in NSE BSE |
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Education |
Graduation , CA Intermediate |
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Shift timings |
Day shift ( 9 am - 7 pm ) |
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Transport Boundaries |
Mumbai, Navi Mumbai , Thane |
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Transport Facility |
NA |
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Salary Range |
5 LPA - 5.50 LPA |
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Weekly Off |
Sunday ( Fixed Off ) |
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Age |
Upto 35 years |
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USP |
Day shift, Growth opportunities |
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Rounds of Interview |
HR (Check previous experience, Location, Qualification, Age, Communication skills, Compensation, Stability) |
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Operation round (Check stability, Interest, skillset, flexibility & discuss salary) |
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CEO Round (Check seriousness, skills, experience, smartness, eagerness to learn new tasks, smartness) |
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Documents |
Educational + Identity Proof + Residential Proof + Offer Letter + Salary Proof (Bank Statement/Payslip) + Relieving letters |
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Clawback |
90 Days |
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