RAHUL DARYANANI

• Monitor day to day productivity of dealing team.
• Leading a team size of over 20 dealers.
• Ensure the dealing team execute client orders accurately across all the asset classes, namely the equity and derivatives segment.
• Deep understanding of market trends, option strategies, DS Block and other related trading strategies across multiple segments.
• Achieving brokerage targets, developing strategies, and deepening client wallet share.
• Ensuring adherence to SEBI regulations and internal compliance.
• Ensure strong leadership across zone by coaching and developing high-performance teams, building a robust talent pipeline, pro-actively manage attrition to ensure stability & continuity of business.
• Apply strategic & analytical thinking to identify business trends, performance gaps, risk areas & growth opportunities

• Manage assigned client base effectively through strong interpersonal skills.
• Interact with Team Members to maximise business opportunity, via leads and client referrals.
• Conduct Investor awareness Programme for assigned regions. Conduct timely training for RMs of assigned regions.
• Evaluated employee performance and coached and trained team members, increasing quality of work and employee motivation.
• Ensured compliance with company policies as well as industry regulations through diligent oversight of daily operations and staff adherence to guidelines.
• Managing a team of 15+ Financial advisors and driving broking and distribution business.
• Monitoring monthly sales closely and the overall productivity of the team.
• Guiding and training the team to Handle queries of Clients and solving them with the prescribed TAT.
• To ensure all the activities are in adherence as per compliance and risk.

• Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity.
• Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
• Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies.
• Additionally, supporting the compliance group in evaluating surveillance results for potential problems.
• Communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.
• Responding to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit, Legal). surveillances.
• Additional activities including handling telephone hotlines and performing data entry in various systems.
• Additional duties as assigned.
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders and /or other team members.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

• With over 7 years of knowledge of Compliance laws, rules, regulations, risks and typologies
• Excellent written and verbal communication skills
• Must be a self-starter, flexible, innovative and adaptive
• Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Strong project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Some knowledge in area of focus