RUCHIKA
New delhi
Summary
Senior Associate in broking operations and back-office processing for client and DP workflows. Handles CKYC/KYC, account opening, client request changes, trade file imports, daily MIS reporting, and urgent resolution of investor and trading queries. Supports operational risk control by maintaining records, updating client details, and managing grievance follow-up in a fast-moving securities environment.
Verify Kyc documents as per sebi and cdsl guidelines.
Handle pan ,Aadhaar bank ,Signature and address Verification.
Coordinate with Cdsl Kra ,RTA and inernal teams for operational activities.
Resolve Client queries througj email and telephone.
Support Settlement and reconcilliation activities.
Coordinate with it teams regarding user creation access issuses and operational support.
Internal audit Cdsl,Nse ,Bse,Mcx
Overview
1
1
Language
2
2
Certifications
17
17
years of professional experience
Work History
Back Office Associates
Aadya Trading & Investment Pvt Ltd.
- Worked as a Back Office Associates for 3 years in Aadya Trading & Investment Pvt Ltd.
- Account Opening Forms NSE , BSE , MCx _SX And Online UCI, Online UC
Senior Associate
VISHWAS FINCAP SERVICES PVT LTD
03.2019 - Current
- Worked as a Senior Associate since MAR 2019 to TILL DATE VISHWAS FINCAP SERVICES PVT LTD
- DP HEAD in NANGAL RAYA –Office Maintains,-Delhi, CDSL -DP Manager- handling back office , RMS-Manager ,dealing or interacting with clients, dealing with securities of clients, handling reprisal of investor grievance, maintenance of book and records pertaining to the above activities, activities having a bearing on operational risk & clients maintain and any quarries solved urgently by clients. Acts (RISING Software)
- Handling all kind of operations work in back office
- Handling all the queries related to CKYC & KYC
- Modification of client request letter / bank detail / change of address/ change of signature etc
- Looking Online back office /operations queries related to the Trading
- Handling all the queries of clients
- Daily MIS Reporting to Management
- Import of trade files on daily Basis
- Account Opening Form and Online UCI Or UCC
- DP HEAD in NANGAL RAYA –Office Maintains,-Delhi, CDSL -DP Manager- handling back office , RMS-Manager ,dealing or interacting with clients, dealing with securities of clients, handling reprisal of investor grievance, maintenance of book and records pertaining to the above activities, activities having a bearing on operational risk & clients maintain and any quarries solved urgently by clients. Acts (RISING Software)
Senior Associate
RR Equity Brokers Pvt Ltd.
11.2012 - 06.2018
- Worked as a Senior Associate since nov’12 to june 2018 RR Equity Brokers Pvt Ltd.
- Handling all kind of operations work in back office
- Handling all the queries related to CKYC & KYC
- Modification of client request letter / bank detail / change of address/ change of signature etc
- Looking Online back office /operations queries related to the Trading
- Handling all the queries of clients
- Daily MIS Reporting to Management
- Import of trade files on daily Basis
- Account Opening Form and Online UCI Or UCC
- Knowledge of Synergy & Shilpi Software
Senior Associate
Maheshwari Technical & Financial Services Ltd.
01.2010 - 10.2012
- Worked as a Senior Associate since jan’10 to oct’12 in Maheshwari Technical & Financial Services Ltd.
- Calculate Long-term & Short-term Capital Gains or Losses
- Prepare Expenses file quarterly
- Prepare bills of the client
- Handle all the Back office Work
- Account opening forms NSE, BSE
- Account Opening Form and Online UCI Or UC
Education
10th - undefined
C.B.S.E.
12th - undefined
C.B.S.E.
B.A.(Passed) - undefined
Delhi University
Skills
Back office operations
Client servicing
KYC processing
Account opening support
Grievance resolution
Trade file processing
MIS reporting
Depository operations
Record keeping
Operational risk management
Cdsl Dp System
Ms Excel(vlookup,pivot Tables Basis Formula
Personal Details:-
- Father’s Name : Shri P.N Iplani
- Category : General
- Place : New Delhi
- Date :
Certification
Nism certification Nism Vi(If appicable)
Timeline
Senior Associate
VISHWAS FINCAP SERVICES PVT LTD
03.2019 - Current
Senior Associate
RR Equity Brokers Pvt Ltd.
11.2012 - 06.2018
Senior Associate
Maheshwari Technical & Financial Services Ltd.
01.2010 - 10.2012
B.A.(Passed) - undefined
Delhi University
12th - undefined
C.B.S.E.
10th - undefined
C.B.S.E.
Back Office Associates
Aadya Trading & Investment Pvt Ltd.