MUKESH THAKUR

Team Handling 3-5 persons

• Issuance important cellulars to team and implement same as per compliance requirement
• Monitoring of various periodic submissions(daily margin & allocation reporting, daily non traded payout and quarterly settlement payout) on timely basis as per regulatory guidelines and levy of penalty of short margin to clients on the basis of prescribed norms
• Updation of various internal SOPs on periodic basis as per exchanges prescribed norms.
• Handle activities related to policy making including issuance of circulars/guidelines to team.
• Co-ordinate with exchanges and internal departments of organization to carry out compliance requirement.
• Handle Clients queries and provide clarification on various issues(p&l Reports, margin statement & contract notes or Govt taxes) to the clients
• Reply to queries asked by Exchanges relating to periodic submission reports
• Monitoring All Segment & Exchanges Billing (FO,CDS,CASH MCX & NCDEX)
• Monitoring All Segment & Exchanges normal & peak margin reporting (FO,CDS,CASH MCX & NCDEX)
• Monitoring All Segment & Exchanges Short allocation reporting (FO,CDS,CASH MCX & NCDEX)
• Monitoring daily non traded clients payout and maintain its compliances
• Monitoring quarterly settlement of 100000 plus clients in every quarter and maintain its compliances
• Fund Management for Exchanges pay-in & payout
• Clients Ledger Reconciliations.
• Managing all audit of operational tasks, whether they are Internal, Exchanges, or SEBI audits, Handle two times Sebi Audit 2018 & 2024
• Monitoring Charges (Interest, Brokerage, Penalty) posting to clients ledger daily basis.

• Handled all Franchisee/DSA/Remisser like their registration, brokerage payout
• Handled HR process like new joining and make update attendance
• Processing DP things like DRF/DIS/Demat ac opening and closing
• Responsible for all operations and co-ordination with other branches
• Punching MF/NCD/LI & GI
• Maintain relationship with clients to achieve quality product and service norms by resolving their service related critical issue
• Scheduled and coordinated meetings in Regional office

• Handled all types Trading and Demat account opening process like Individual, HUF, Corporate
• Handled all types of KYC, CKYC, Account Modification
• Handled Pay in - Pay out entries of clients
• Handled Admin & HR works like pay water bills, electricity bills ,Office rent,new joining records, other bills and maintained these records.
• Created spreadsheets in Microsoft Excel for record-keeping and reporting.
• Coordinated repair work and maintenance of office equipment and building fixtures.

• Handle billing of all products experience in training, team development, and delivering excellence