Stock Broker Job Vacancies in Gurgaon

We are looking for a Compliance Officer to ensure our operations meet legal and ethical standards. This role is crucial for maintaining our organizations integrity and reputation.Key Responsibilities:- Regulatory Compliance Monitoring: Continuously review and ensure that all business practices align with current laws and regulations to avoid legal pitfalls.- Policy Development: Create and update internal compliance policies, ensuring they reflect legal requirements and best practices for the organization.- Training Programs: Develop and conduct training sessions for employees on compliance topics, ensuring everyone understands their responsibilities regarding laws and regulations.- Risk Assessment: Identify potential compliance risks and recommend effective measures to mitigate them, protecting the company from financial and legal penalties.- Reporting: Prepare detailed reports for senior management on compliance activities, findings, and recommended improvements.- Investigation Handling: Manage investigations into compliance breaches or violations and work with relevant departments to resolve issues promptly.- Stakeholder Collaboration: Work closely with various departments to promote a compliance culture across the organization, encouraging transparency and ethical behavior.Required Skills and Expectations:The ideal candidate must have 4 to 9 years of experience in compliance or a related field. Strong knowledge of regulatory requirements and experience in developing compliance programs are essential. The candidate should possess excellent analytical skills and attention to detail, as well as strong communication skills to effectively train and inform others. A proactive attitude towards identifying issues and a strong ethical foundation are crucial for success in this role.

Trading Account Opening meeting New Prospects .develop and Implement Effective Sales Strategies and Market Analytics.manage and Lead a Team of Sales Representatives.achieve Sales Targets and Monitor Performance Metrics.build and Maintain Strong Client Relationships.analyse Market Trends and Identify Growth Opportunities.prepare Sales Forecasts and Budgets.collaborate with Marketing and Product Teams to Enhance Customer Offerings.ensure Compliance with Regulatory Requirements.meeting Old and New Clients.maintaining Excel for Daily Working and Team.

Dear Candidate,Greetings From APEX SERVICESRole- Equity Dealer/HNI Dealer/TL/SalesCTC- upto-7 LPA + incentive + Other benefit Job Description: 1. Trading on behalf of the clients and Advising clients on market Queries 2. Building relationships with NRI clients & educating them about Investments 3. Client Acquisition as per targets and cross selling of 3rd party products (MF, Insurance, SIP etc)Skills:-Minimum GraduationShould have a sound understanding / knowledge of capital markets.Should be result-oriented, self-starter, proactive, good communication skills.Should be certified in Equity Derivative Certificate (NISM 8) - Mandatory.Kindly reply with an updated CV at apex.ujjwal@gmail.com if you are interested in the mentioned Job Role, you can call also on 6394266681

We are seeking a motivated and personable Investment Advisor to join our team. The ideal candidate will be responsible for visiting our investors, presenting our investment plans, and providing personalized financial guidance. Key Responsibilities:- Meet with clients to discuss their financial goals and investment strategies.- Present and explain our investment plans clearly and confidently.- Build and maintain strong relationships with investors.- Provide ongoing support and follow-up to ensure client satisfaction.- Stay informed about market trends and investment opportunities.Qualifications:- Bachelors degree- Proven experience in investment advisory or financial services is preferred.( Not Mandatory) - Excellent interpersonal and communication skills.- Strong analytical and problem-solving abilities.- Must have personal transport for client visits.*Skills:*- Professional demeanor with a positive attitude.- Ability to build rapport with clients and understand their needs.- Strong organizational and time management skills.Benefits:- Competitive salary and commission structure.- Ongoing training and professional development.If you are passionate about finance and have the drive to help clients achieve their investment goals, we invite you to apply!

JD: To ensure active management of clients & achieve the target active AUMTo be responsible for identifying customer needs, assessing their risk appetite and providing them investment optionsTo provide regular updates to the clients regarding the market changes and subsequent changes to the portfolioTo achieve healthy revenues without compromising on clients profitabilityTo have clear focus on client miningTo conduct regular Client Meetings & update the same in the meeting trackerTo attain maximum reach of investment ideas/stock calls initiated, understanding of Annual reportsTo do new client acquisition, build new relationships and increasing depth in existing relationshipsTo sell Third party productsKeep abreast of the market news, financial trends and current affairsTo attend post result concalls, analyst meets for improved client servicingTo Be Able to Handle HNi clients.Nism 8 mandatory

Job Description: Maintaining the relationship with the customers. To cross-sell the investment party products. Advise clients on a range of products viz. Equity, Mutual Funds, PMS in stocks and securities broking, derivatives, bonds and all the products promoted by the company. Generate revenues and AUM for the company as per the expectation.Position: Sales Manager/ Relationship manager EquityLocation: Noida, Gurgaon, KolkataExperience: 5-15 yearSalary: upto 30 lakhs per annum

Responsibility: The primary responsibility of the Relationship Manager is to sell insurance policies by generated / generating leads though internal / external distribution model and serving existing customers or leads that are received from the respective channel for sourcing business. Daily monitoring of leads Update leads in LMS system Repost daily activity to supervisor Service existing clients Maintain assigned renewals data and persistency targets Increase the top of funnel by driving period BTL activates, generating referral form prospect customers to generate a bigger prospect base.

Urgent requirement for Relationship ManagerExp:- 5- 10 years of experience of which 2-3 years in current roleEducational Qualification Post-GraduateSalary: 25-35 lacs plus variableLocation:- GurgaonQualification:- Post-Graduate Skills:-1- Experience in dealing and interacting with HNIs2- Pleasing personality3- Strong communication & relationship building skills4- Understanding of debt and equity markets5- Understanding of portfolio construction and reviews6- Good presentation skills