First Global ( Mumbai ) : Finance : MANAGER SETTLEMENT OPERATIONS AND COMPLIANCE : CTC up to 7.5 LPA | JC/2236

 Dear Team,

 

Please work on the position shared below.

 

Please note the Job code for this position JC/2223 instead of JC/2236

 

Interview Process:

 

·       Post CV Screening Sangeeta Shelatkar 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 as of now.

 

 

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

Previous Company 1

Previous Company 2

Previous Company 3

Previous Company 4

Previous Company 5

 

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

 

Job Code	JC/1901
Process	Finance
Gender	Male / Female
No. of Positions	1
About Process	Well versed with the exchange and SEBI compliances with regard to PMS, AIF, AMC, Retail broking
	Handling independently various Exchange Inspections, Independently SEBI Inspections, and System Audits & SEBI Internal Audit
	Handling Independently DP Audit
	Solving all types of customer and branch queries relating to Account Opening, Settlements, Trading, Billing, brokerage structures and changes, etc
	Independently handling all Compliances related to DP & Exchanges
	All Grievance Solving, Maintenance of all type of Registers online or offline
	Timely submission of all reports
	Supervising of Client detail about SEBI, all intranet and mail received and reply related work etc.
	C KYC Process and upload of Documentation of clients.
	Uploaded Enhanced Supervision (half yearly)
	Details Of Client Assets in NSE BSE MCX ICEX (Weekly/ Monthly)
	Standard Holding Report uploaded in NSE BSE
	Dividend Processing of Client
	Handling entire trading account KYC Process and CVL-KRA /NDML KRA AND DOTEX KRA Documentation of clients
	Online IPO BID AND BUYBACK offer  BID in NSE BSE
	Downloading of all the required files from the BOLT and FTP for daily process.
	Supervising the process of Printing of Contract Notes and Bills & sending client email through endorser.
	Organizing for settlement obligation for NSE and BSE Cash Segment and F&O segment
	Functioning of Broking & Depository’s Account Opening section, Scrutiny and authentication of forms.
	All type of account opening online or offline, all type of KYC, CKYC
	Account Modification, DIS, Demat, Remat, Pledge, Unpledge, Freeze, Unfreeze, Pay in - Pay out
	AP Registration,
	Supervising Preparation of DEMAT instructions for Settlement & Client Transfer,
	Operating Of ‘LD Software’, Taking daily backup of front & back office,
	Entire Trade process of segment of BSE CASH,BSE Currency, NSE CASH,NSE CURRENCY & NSE F&O ,MCX ,ICEX,
	Handling of All the Demat Transaction  in pay-in & pay-out to national stock exchange (NSE) & Bombay stock exchange (BSE)=
	Solving the queries of clients in completing the documentation process for opening of demat account.
	Entire Bill process of cash segment of BSE, NSE & NSE F&O
	Early Pay-In of Shares
	Installation of New backoffice Softwares
Title	MANAGER SETTLEMENT OPERATIONS AND COMPLIANCE
Location	Mumbai, Navi Mumbai
Requirement	Good Communication skills in English ( 8/10 )
	7-8 year experience in the current position, in supervisory capacity.
	In depth knowledge, hands on experience of the above functions
Education	CA Intermediate Preferred
Shift timings	Day Shift 9 am - 7 pm
Transport Boundaries	Mumbai, Navi Mumbai
Transport Facility	NA
Salary Range	6 lacs to 7.5 lacs P.A
Weekly Off	Sunday  ( Fixed Off )
Age	Upto 45 Years
USP	Work from Home currently, Day Shift, Growth Opportunities
Rounds of Interview	HR (Check previous experience, Location, Qualification, Age, Communication skills, Compensation, Stability)
	HOD -Operation round (Check stability, Interest, skillset, flexibility & discuss salary)
	CEO/Director Round (Check seriousness, skills, experience, smartness, eagerness to learn new tasks, smartness)
Documents	Educational + Identity Proof + Residential Proof + Offer Letter + Salary Proof (Bank Statement/Payslip) + Relieving letters
Clawback	90 Days