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Acquire new customers and generate broking revenues as per targets
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To acquire New Large Trader Clients per month.
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To ensure best quality customer acquisition by selecting the right surrogates as per the segmentation norms.
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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.
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To collect margin cheques/stocks from clients, as and when required and ensure that they are captured/banked timely.
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To generate minimum daily trading volumes and profitability for the client & company.
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Adherence to deal desk process to maintain business hygiene
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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.
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To ensure documentation formalities like KYC, profiling of new clients with all the necessary details
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To ensure efficient and prompt management of orders, execution of transactions and reporting of trades in Equities, Equities IPOs and Equities related products.
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To participate in daily research calls and keep all customers updated with In-house research recommendations only.
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To caution the clients against positional losses as per research and risk recommendations and minimize losses to customers.
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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.
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To ensure settlement of daily obligations and advise the clients on their margin’s limits, on mark to market losses, brokerages, margins available etc.
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To strictly adhere to all risk & surveillance and Deal desk processes.
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To encourage & facilitate clients to migrate from offline to online trading by providing training and comfort.
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To encourage clients to download mobile app/browser, transact, access reports and information pertaining to their account on the internet.
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Activation of new and dormant clients to increase clientele for the business
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To ensure all new clients start trading within 7 days of account opening.
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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.
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To ensure end-to end seamless and single point service to the customers, to win and maintain his trust
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To ensuring specific number of clients (as pre-defined by H.O) are active on daily basis
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To constantly follow up with inactive / dormant clients, build confidence and get them to trade
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Cross Sell of ABC Products
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To ensure participation in training and processes for other ABC products offered.
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To understand the financial needs of customers and generate leads
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To use other ABC products and services to activate inactive customers
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Ensure adherence to surveillance and risk processes
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To ensure that all compliance and legal guidelines are adhered to and mitigation strategies followed in case of mishaps
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To manage the trading terminals and ensure confidentiality and security of the client’s investments
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To ensure no misdeal or wrong trades is knowingly/ unknowingly executed
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To ensure that 100% Pre-orders are available as per SEBI mandate
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To ensure all trades are confirmed by end of day (on voice logger lines) as per the trade confirmation process.
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To ensure that only orders placed by customer (not their family members/agents) or an authorized person are executed.
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To ensure periodic acknowledgement of trades/ balances by customer, especially when there are losses incurred in their accounts.
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To keep a check on customer’s margins while they are trading and advise them.
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To ensure the debits are collected from clients on time & the company is safely secured against debits arising out of non – payment.
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To ensure the terminal used by equity Advisor for placing orders is mapped to his name and id.
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To ensure adherence and awareness of employee code of conduct.
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Self-Certifications as per exchange and regulators
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