Equity Dealer

Job Description
Position / Job TitleRelationship Manager- EquitiesDesignationOfficer/ Executive/ Assistant Manager/DM/Manager/Senior ManagerDepartment Branch DealingSub Department Branch DealingReporting To (title) Branch ManagerSuperior’s Superior (title) Cluster Head/ State Head Location Date

1. Job Purpose

To render financial services to customers to generate revenue through brokerage and third party products.

1. Dimensions
   what are the areas (in quantitative terms) the job has an impact on?

S.No.ParametersRemark1Revenue Brokerage and TPP products – To be set at the time of Onboard2Products
Equity/ Currency/ DYSIP/ TPP and any other new product launched.
3CustomersActivation of customers, servicing and retention.
Average of 250-350 customers mapped per RM.

1. Job Context & Major Challenges

What are the specific aspects of the job that provide a challenge to the jobholder in the context of the Department/Zone?Context:
HSL is a financial intermediary, where customers use the services to invest their funds in different asset class (equity, debt, gold, currency, real estate.). This job frontends clients servicing and trading on behalf of clients.

Challenge:

1. Retaining of customers in competitive markets.
2. Ensure Compliance while serving the customers.
3. Dynamic market conditions.

1. Principal Accountabilities

AccountabilitySupporting ActionsRevenue generationAchieve Targets

• Achieving the targets by generating brokerage through dealing.
• Generating revenue through third party products.

Compliance

• Adhere to dealing room conduct as prescribed by the HSL.
• Ensure the internal processes and systems are followed.
• Maintaining VRS records for all the trades.
• Following the code of conduct.
• Anti Money Laundering.
• Ensure proper certification and renewal.

Relationship Management

• Conduct client visits and HDFC Bank branch visits for maintaining and building the relationships.
• Prompt service to the clients.
• Advising and updating customers with daily movements in the stocks, with the help of research.
• Managing the portfolio of clients with minimal errors/ losses.
• Activating dormant clients.

Database Management Maintain all records as per guidelines

• Maintain records of all mapped customers portfolio.
• Maintain records of all branch visits/ customer visits.
• Furnish necessary reports to the Branch Manager.

Coordinating with Risk Team

• For limit enhancement.
• Approval for illiquid and T group shares.
• Collateral holds
• Pay-in and pay-outs of securities and funds.

1. Job Purpose of Direct Reports

NA

1. Relationships (If Applicable)

InternalFrequencyNatureRisk Team

Research Team

Operations

Cluster heads/ BM

Product teamDaily

Daily

Daily

Daily

RegularlyCoordination

Get insight about the market movements.

Coordination

Daily operations

Need basisExternalFrequencyNatureCustomers

Bank Representatives

Product Principal
Daily

Daily

RegularlyServicing

Partnering

Product update.

1. Organization Structure

(Map reporting position, peers- reporting to the same position and subordinates)
Head of the Department Regional Head Cluster Head/ State Head Branch Manager Area Sales Manager Relationship Manager Sales Officer
Signature Name
(Job Holder)
(Job Holder’s Supervisor)Date Job AnalystName: Signature: