Job Description

Department Profile

 The India Equity Branch Ops team supports the India IED broking business - Equity Sales & Trading business. The TSG Ops team supports both primary and secondary markets on 2 Exchanges in India. India is an ID market with significant complexity and regulatory reporting requirements. Ops resources are required to have good knowledge of regulations, market practices, coordinate with traders, setup and manage client relationships, work on exchange applications to monitor margins and collaterals, coordinate with Exchanges, Agent Banks for operational issues, Performing activities like Trade Booking, sending confirmations, perform regulatory reporting, work with GCM on primary market deals, do processing and settlement as per local requirements etc.


Background on the Team



The Team actively works with India IED desk and performs all the functions right from account opening to settlement of trades. The team also works with the GCM team on primary market deals like IPOs, FPOs, OFS, QIPs.

The team coordinates across various departments like Legal & Compliance, FCG, Tax department, risk team in their day to day functioning. The team interacts with clients based in different regions, local custodian banks

Primary Responsibilities



Understanding of India Stock Market

·         Knowledge of India KYC laws

·         Knowledge of documentary requirements for various entities like FPI, Mutual Fund, Corporates

·         Knowledge of KRA System

·         Understanding of C-KYC regulation



Good to Have

·         Communicating with the Traders, Custodians, Clients and ensuring with knowledge of account set up


Skills required (essential)


1.     Strong customer service focus, interpersonal and communication skills

2.     Good Team-player

3.     Ability to absorb information and learn quickly

4.     Sound Technical knowledge

5.     Exhibit a strong sense of urgency, accountability, ownership

6.     Being Accurate, Taking Initiatives

7.     Well conversant with Equity market rules and regulations preferred

8.     Knowledge of Exchange Regulations

9.     Knowledge of Primary market processes like IPOs, OFS, QIP etc.



Skills desired


1.   Experience in client servicing

2.   Excellent verbal and written communication skills

3.   Ability to work under pressure with strict timelines

4.   Ability to handle critical situations

5.   Good interpersonal skills

6.   Strong Control focus

7.   Good knowledge of MS Office


Minimum: 2-4years of relevant experience in an Institutional Broking Firm on KYC Side