930 Stock Broking Jobs - Page 5

Job Title: Compliance Executive Department: Compliance Location: Noida Reports to: Compliance Manager / Head of Compliance Employment Type: Full-Time Job Summary We are seeking a detail-oriented and proactive Compliance Executive to join our team in a stock broking firm. The ideal candidate will be responsible for ensuring the company's adherence to all applicable regulatory guidelines, with a focus on operational compliance and reporting activities mandated by SEBI, stock exchanges, and other regulatory bodies. This includes daily margin reporting, segregation reporting, handling off-site alerts, and preparing documentation. Key Responsibilities 1. Preparation and timely submission of daily client margin reports to exchanges (NSE/BSE/MCX/NCDEX/MSEI) as per SEBI regulations. 2. Coordination with the RMS team to ensure accuracy and completeness of margin data. 3. Preparation and submission of daily segregation report to exchanges within prescribed timelines. 4. Review, analyze, and address off-site/on-site alerts received from stock exchanges or regulatory bodies. 5. Maintain records of actions taken and ensure timely closure of all alerts. 6. Prepare client-wise files for monthly/quarterly settlement of funds as per SEBI regulations. 7. Assist in preparation of data for periodic internal audits and inspections by exchanges or regulatory authorities. 8. Keep abreast of regulatory updates/circulars and assist in updating internal processes/policies accordingly. 9. Assist in drafting SOPs and policies in line with the latest regulatory changes. Required Qualifications and Skills Bachelors degree in Commerce, Finance, or related field (Master’s/MBA preferred). 1–3 years of experience in compliance within a stock broking company or related financial services firm. Proficient in Excel and other MS Office tools Strong attention to detail, analytical skills, and ability to work independently. Good communication skills for interacting with internal departments and external regulators. Preferred Certifications: NISM Series–III-A (Securities Intermediaries Compliance) NISM Series–VII (Securities Operations and Risk Management)

Place orders on behalf of clients Providing advisory services AUM product penetration Cross selling of third party investment products after market Generate Revenue Achieve sales targets Required Candidate profile Office Timing: Monday to Friday 8.30 to 5.30 pm Sat - 10 am to 2 pm Saturday 2nd and 4th off

New Client Prospecting through cold-calling Explain about the Company products and services Promote Mutual Funds, Insurance and PMS Cross Sell Provide investment application forms to clients Daily sales report Required Candidate profile Experience in Broking or Banking or Insurance industry Location Gariahat and New Alipore

Dear candidate, Urgent opening for Broking firm. Exp - 3 yrs min CTC : Upto 6-25 LPA Location : Mumbai Advisor PCG Candidate should have experience into Trading and Order Punching Candidate should have exp handling the HNI and UHNI Clients Candidate should have exp of client acquisition and client servicing Candidate will have target of cross selling post completion of 2 yrs in MO Candidate should have knowledge of derivatives , options, cash and trading. Interested candidate can revert back with updated resume on qcnaukri1@gmail.com Any query can call Shrutika : 022-40697708 / 8369367973

Execute trades in Equity & Fixed Income instruments on behalf of clients (retail/HNI/institutional).Monitor market movements & provide real-time updates to clients.Ensure compliance with SEBI regulations /internal risk controls .exp in derivatives. Required Candidate profile The ideal candidate should be well-versed in market operations, trading platforms, and client execution. Exposure to Derivatives (F&O) will be considered a strong advantage.must be NISM 8 certified .

Interest in stock market; basic options trading knowledge as a Trainer Conduct online/offline sessions and resolve student queries via WhatsApp, email, or in person. Guide students about stock market-related doubts and Understand training services

Responsible to Brokerage generation primarily through advising HNI clients on their Equity & Derivative portfolio. New client acquisition for Broking , Investment products – PMS/MF/Fixed Income Daily meetings to be done with existing clients and new Required Candidate profile Candidate should have exp handling the HNI and UHNI Clients Qualifications: Post Graduation Exp- 5 Years in sales/wealth management and experience on PMS, Mutual Fund, AIF & Insurance product

- Manage PE/RE fund operations: distributions, drawdowns, fee calculations & unit transfers. - Ensure compliance via KYC audits, PPM reviews, Trustee reports & CRISIL benchmarking. - Maintain MIS for investors, upload documents & track KYC gaps. Required Candidate profile - CA Inter / CA / MBA Finance with 2+ years of experience in Financial services / NBFC and related field is must. - Must have experience in Private Equity, Real Estate funds and Anti-Money Laundering

Role: PCG Advisor New client acquisition for Broking, Investment products – PMS/MF/FD & Insurance Advising Super HNI clients on Equity, Derivatives, currency & commodity Markets Handling clients with a book size of 25 lacs & above, & revenue genrate Required Candidate profile Qualification: Graduate, with NISM 8 EXP: Min 2 yrs With Knowledge of Equity, Derivatives, commodities, with HNI UHNI client handling & Acquisition Can contact Ruhi @ 9113961458

Role: Area manager, IFA Franchise handling, acquisition of a new franchise Maintain relationships with the existing network of IFAs Recruit potential new IFAs Manage, recruit, and lead the sales team to meet efforts and performance targets. Required Candidate profile Qualifications: Graduate Experience: 3+ Years in sales of investment products through IFA channel. Team handling experience: Recommended Can contact Ruhi @ 9113961458,

Trade Execution: Accurately & efficiently execute buy & sell orders for clients in equities, derivatives Build & maintain long-term, trusting relationships with clients All trading activities adhere to SEBI regulations & internal compliance policies Required Candidate profile Graduate with 2-3 yrs experience in Stock Broking co as a Relationship manager/ Equity Dealer NISM Mandatory Strong analytical and problem-solving abilities. info.aspiringmantra@gmail.com

Trade Execution: Accurately & efficiently execute buy & sell orders for clients in equities, derivatives Build & maintain long-term, trusting relationships with clients All trading activities adhere to SEBI regulations & internal compliance policies Required Candidate profile Graduate with 2-3 yrs experience in Stock Broking co as a Relationship manager/ Equity Dealer NISM Mandatory Strong analytical and problem-solving abilities. info.aspiringmantra@gmail.com

Responsibilities: * Generate revenue through equity sales & brokerage generation * Manage demat accounts & cross sales activities * Execute B2C marketing strategies for mutual funds & SIPs cross-selling Client Meeting and achievement of target Employee state insurance Provident fund Sales incentives

- You get 100% leads from company - Candidate have to followup with those leads and convience or convert that into sales - where leads are provided by outbound and inbound contact centers and the portfolio of customers are classified. Required Candidate profile Required Candidate profile • Education: Graduate • Age: Between 21 to 40 years • Experience: Need Min.1 year in any sales

- You get 100% leads from company - Candidate have to followup with those leads and convience or convert that into sales - where leads are provided by outbound and inbound contact centers and the portfolio of customers are classified. Required Candidate profile Required Candidate profile • Education: Graduate • Age: Between 21 to 40 years • Experience: Need Min.1 year in any sales

- You get 100% leads from company - Candidate have to followup with those leads and convience or convert that into sales - where leads are provided by outbound and inbound contact centers and the portfolio of customers are classified. Required Candidate profile Required Candidate profile • Education: Graduate • Age: Between 21 to 40 years • Experience: Need Min.1 year in any sales

JM Financial Share & Stock Broker Key role- Opening Demat account Role:- Digital Acquisition Specialist Day 1 joining salary starts from day 1 Shift timing - 9:00AM to 7:00PM Required Candidate profile Minimum HSC with 6 months of sales experience. To schedule your interview Call or send your CV through WhatsApp (number mentioned below) HR Dhanashri:- 7796426785 Perks and benefits incentive and growth opportunities

Position Summary: We are seeking a highly motivated and customer-focused Chat Agent to join our dynamic team. The ideal candidate will be responsible for providing accurate, timely, and professional support to our clients regarding their securities business queries via live chat. This role requires a strong understanding of stock market operations, investment products, and excellent communication skills to assist clients with their trading and investment-related inquiries. Key Responsibilities: Live Chat Support: Respond promptly and efficiently to a high volume of inbound customer chat inquiries related to stock market activities, trading platforms, and investment products. Query Resolution: Accurately identify and resolve customer issues, including but not limited to: Account-related queries: Account opening, KYC, login issues, password resets, demat account statements. Trading queries: Order placement (buy/sell), order status, trade execution, margin calls, stop-loss orders, bracket orders, cover orders, options and futures trading. Market information: Stock quotes, historical data, market indices, corporate actions (dividends, splits, bonuses, rights issues). Platform navigation: Guiding customers through the trading platform, mobile app, and web portal features. Product information: Explaining various investment products (equities, mutual funds, ETFs, derivatives, bonds, commodities). Regulatory compliance: Providing information on regulations, exchange rules, and other relevant guidelines. Fund transfers: Inquiries related to deposits, withdrawals, and fund settlement. Information Dissemination: Provide clear, concise, and accurate information, explaining complex financial concepts in an easy-to-understand manner. Escalation Management: Identify and appropriately escalate complex or unresolved issues to the relevant internal departments (e.g., trading desk, back office, compliance) while ensuring a seamless customer experience. Documentation: Maintain detailed and accurate records of all customer interactions and resolutions in the CRM system. Feedback & Improvement: Proactively identify trends in customer inquiries and provide feedback to management for process improvement, FAQ development, and product enhancements. Compliance: Adhere strictly to all company policies, regulatory guidelines and data privacy regulations. Continuous Learning: Stay updated with the latest market trends, financial products, regulatory changes, and company offerings. Quality Assurance: Ensure all chat interactions meet company quality standards and service level agreements (SLAs). Required Skills and Qualifications: Education: Bachelor's degree in Finance, Commerce, Business Administration, Economics, or a related field. Experience: 1-3 years of experience in customer service, preferably in the financial services or stockbroking industry, with a strong emphasis on chat support. Stock Market Knowledge: Preferred and strong understanding of stock market ( Preferably European ), including equity, mutual funds, and basic knowledge of commodities/forex. Familiarity with stock market regulations and exchange operations is a significant plus. Communication Skills: Excellent written communication skills with impeccable grammar, spelling, and punctuation. Ability to explain complex information clearly and concisely. Technical Proficiency: Proficient in using CRM software, live chat platforms, and Microsoft Office Suite (Word, Excel). Familiarity with trading platforms is highly desirable.

Mega Drive for Mutual Fund Sales, SIP, insurance Locations - , Jodhpur Sikar Ajmer Udaipur Bhilwara Bikaner ctc - 2.5 to 5 lacs and Incentives Experienced in broking, banking, mutual funds sales & insurance fields. Opening of Dmat Accounts Required Candidate profile Managing portfolio of clients and mutual fund sales Also Fresher graduates / MBA ( Finance / Mktg) keen in sales can apply. Contact QRN Geojit on 9811985863 OR email cv on qrn.placement@gmail.com

-Responsible for build up your team -You have to train and motivate them for sales -You have to organize sales visit for business development -Develop your team member for more business -Managing monthly and weekly meetings Required Candidate profile Minimum 6 Months in Field Sales/Marketing CTC : Up to 7 LPA + Incentive + Performance Bonus + Others Benefits Age : 24 to 40 years Education : Any Graduation Call/WhatsApp on 9974304620 Perks and benefits pf + incentives + Increment & Promotion Yearly

You will be joining Patni Capital Pvt Ltd, an independent financial services company located in Aurangabad. Established in 2016, we offer a wide range of services such as stock broking, mutual fund distribution, bond investments, company fixed deposits, and life & health insurance. Despite being relatively new, we have managed to capture a significant market share and are proud to have approximately 500 satisfied clients spread across India. As a Client Relationship Manager in a full-time on-site role in Aurangabad, your primary responsibility will be to nurture and enhance client relationships. This includes understanding and addressing client needs, providing financial advice and investment strategies, and ensuring overall client satisfaction. You will also manage client accounts, handle client queries, and keep clients informed about their portfolios on a regular basis. To excel in this role, you should possess strong client relationship management and interpersonal skills. A good understanding of financial services such as stock broking, mutual funds, bonds, and insurance is essential. Exceptional communication, negotiation, and problem-solving abilities are key. You must also have the capacity to comprehend and analyze financial reports and market trends, along with prior experience in customer service and client account management. A Bachelor's degree in Finance, Business Administration, or a related field is required for this position. Additionally, having relevant certifications in financial services or investment management would be advantageous. The ability to work on-site in Aurangabad is a must for this role, ensuring seamless interaction with our valued clients.,

Roles and Responsibilities Digital client acquisition of Demat Account using LMS on provided leads Ensure the clients downloads our mobile application and complete the KYC process Desired Candidate Profile Sales driven approach Knowledge of Stock Market Good communication skills Graduation Any stream

1. Generating revenue by acquiring Clients from open market. 2. Sales of all the Financial products- Equity, MF SIP's, Bonds, Insurance etc. 3. Ability to create his own books. 4. Responsible for TPP (Third party products);cross selling of MF,LI etc. Required Candidate profile > Must be a Graduate > Min 2 yrs exp in Demat acquisition/ Equity Sales and cross sell TPP (MF/Bonds/LI ) > Must have their own client base. > Job Location: Basappa-Malleshwaram-Indiranagar Perks and benefits Incentives as per industry norms

Roles and Responsibilities Provide expert advice on stock market trends, investment strategies, and portfolio management to clients. Conduct thorough analysis of financial markets, instruments, and client needs to develop personalized investment plans. Execute trades on behalf of clients through various exchanges and platforms. Stay up-to-date with regulatory changes and compliance requirements in the stock broking industry. Maintain accurate records of client interactions, transactions, and performance reports. Desired Candidate Profile 1-2 years of experience in equity broking or related field (stock broking). Strong understanding of stock market dynamics, including trading hours, settlement processes, and risk management techniques. Excellent communication skills for effective interaction with clients from diverse backgrounds. Ability to work independently with minimal supervision while meeting sales targets and revenue growth goals.

1. Execute Trades on the Trading Terminal. 2. Generating revenue by acquiring Clients from open market. 3. Ability to create his own books. 4. Responsible for TPP (Third party products);cross selling of MF,LI etc. 5. Punch in Orders (Buy/Sell) Required Candidate profile > Must be a Graduate and *NISM certified* > min 2 yrs exp in dealing > knowledge about trading software. > must have their own client base. > Job Location: Basappa-Jayanagar-Malleshwaram-Indiranagar Perks and benefits Incentives as per industry norms