Job Description




Division: India Branch Ops – FX                                     Job Title: Associate


Location: Mumbai                                                          Job Level: Operation Specialist



Company Profile



Client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.


As a market leader, the talent and passion of our people is critical to our success.  Together, we share a common set of values rooted in integrity, excellence, and strong team ethic.  Client can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.



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



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: 10 years of relevant experience in an Institutional Broking Firm on KYC Side