Equity Advisor

JOB DESCRIPTION

Designation - Equity Advisors

Locations - Madurai Coimbatore & Bangalore

Mandatory:

Minimum 3 years exp from any securities company.

CIBIL Score 650

Graduation

Employment gap does not consider

Age 38 max

NISM 8 required

Roles & Responsibilities :

Acquire new customers and generate broking revenues as per targets

• To acquire New Large Trader Clients per month.

• To ensure best quality customer acquisition by selecting the right surrogates as per the segmentation norms.

• To participate in the Local Area Program (LAP) for lead generation that the branch manager organizes and play an active role in sourcing trader accounts/leads of third party products.

• To collect margin cheques/stocks from clients as and when required and ensure that they are captured/banked timely.

• To generate minimum daily trading volumes and profitability for the client & company.

Strictly follow the Deal Desk Process

• To operate the Trading software for BSE NSE MCX NCDEX (Equity-F&O Segment Commodity and

Currency) handle trading accounts of clients and execute orders as per client request.

• To ensure documentation formalities like KYC profiling of new clients with all the necessary details

• To ensure efficient and prompt management of orders execution of transactions and reporting of trades in Equities Equities IPOs and Equities related products.

• To participate in daily research calls and keep all customers updated with In-house research

recommendations only.

• To caution the clients against positional losses as per research and risk recommendations and minimize

losses to customers.

• To maintain a symbiotic relationship with all the internal stakeholders such as RMS Surveillance funds and Ops teams for resolution of all trade and funds related issues.

• To ensure settlement of daily obligations and advise the clients on their margins limits on mark to market losses brokerages margins available etc.

• To strictly adhere to all risk & surveillance and Deal desk processes.

• To encourage & facilitate clients to migrate from offline to online trading by providing training and comfort.

• To encourage clients to download mobile app/browser transact access reports and information pertaining to their account on the internet.

Activate new clients for broking relationships and ensure seamless servicing

• To ensure all new clients start trading within 7 days of account opening.

• To ensure that all efforts are taken to introduce the customer to the online mode of trading by way of

demos and first login hand holding.

• To ensure end-to end seamless and single point service to the customers to win and maintain his trust

• To ensuring specific number of clients (as pre-defined by H.O) are active on daily basis

• To constantly follow up with inactive / dormant clients build confidence and get them to trade Cross Sell of ABC Products

• To ensure participation in training and processes for other ABC products offered.

• To understand the financial needs of customers and generate leads

• To use other ABC products and services to activate inactive customers

Ensure adherence to surveillance and risk processes

• To ensure that all compliance and legal guidelines are adhered to and mitigation strategies followed in case of mishaps

• To manage the trading terminals and ensure confidentiality and security of the client’s investments

• To ensure no misdeal or wrong trades is knowingly/ unknowingly executed

• To ensure that 100% Pre-orders are available as per SEBI mandate

• To ensure all trades are confirmed by end of day (on voice logger lines) as per the trade confirmation

process.

• To ensure that only orders placed by customer (not their family members/agents) or an authorized person are executed.

• To ensure periodic acknowledgement of trades/ balances by customer especially when there are losses

incurred in their accounts.

• To keep a check on customer’s margins while they are trading and advise them.

• To ensure the debits are collected from clients on time & the company is safely secured against debits arising out of non – payment.

• To ensure the terminal used by equity Advisor for placing orders is mapped to his name and id.

• To ensure adherence and awareness of employee code of conduct.

Self-Certifications as per mandate

To work on self-certification mandated by exchanges and regulators.

To undertake periodic product and technical trainings to stay abreast.