6 Broker Dealer Jobs nearby Pune

Role Overview: As a Clearance & Settlements associate at UBS Financial Services Inc., you will collaborate with associates on the Clearance & Settlements team to address any outstanding escalations and issues. Your primary responsibility will be to perform the day-to-day International Settlement processes on behalf of UBS Financial Services, ensuring all associated controls related to settlement, trade failure, and buy-ins are managed effectively. You will work closely with fellow Operations teams to achieve common goals and provide prompt and accurate responses to systemic requests and inquiries from client branches and broker dealer firms. It will be crucial for you to identify issues and escalate them to the right stakeholders in a timely manner to mitigate financial or firm risk. Additionally, you will participate in team meetings, stay updated on regulatory requirements, and ensure that SOPs are reviewed regularly. Key Responsibilities: - Collaborate with associates on the Clearance & Settlements team to address outstanding escalations and issues - Perform day-to-day International Settlement processes and manage associated controls - Manage risk associated with trade settlements to maintain the firm's reputation and client service - Work with Operations teams to achieve common goals - Provide prompt and accurate responses to systemic requests and inquiries - Identify and escalate issues to the right stakeholders in a timely manner - Participate in team meetings, stay updated on regulatory requirements, and review SOPs regularly Qualifications Required: - 1-5 years of financial services/securities industry experience - Bachelor's degree in finance, Business Administration, or a related field - Ability to multitask and interact with multiple clients and business partners simultaneously - Highly motivated with the ability to learn quickly in a pressured environment - Team player with attention to detail and ability to work under pressure - Proficiency in Microsoft Office Suite, particularly Excel - Strong communication and interpersonal skills About the Company: UBS Financial Services Inc. is a leading firm in the financial services industry, dedicated to providing exceptional wealth management service and innovative solutions to clients. UBS is the world's largest and the only truly global wealth manager, operating through four business divisions in more than 50 countries. The company is committed to diversity and inclusion and empowers individuals with diverse backgrounds, skills, and experiences within its workforce.,

Your role: You will cover Financial Institutions, including global Banks, Insurance companies, Broker Dealers, Sovereign and similar entities. Your responsibilities will include: - Evaluating counterparty credit risk based on analysis of both quantitative and qualitative factors, including fundamental credit analysis, to recommend internal ratings, LGD, and credit limits. - Preparing written counterparty annual reviews/transactional credit proposals drawing conclusions relating to credit assessment, risk appetite, exposure drivers, and business prospects. - Understanding counterparty credit exposure associated with OTC derivatives (FX, Fixed Income, Equities), securities financing, exchange traded derivatives, banking products, and structured transactions. - Performing ad hoc credit risk analysis and participating in portfolio reviews to identify risk developments or concentrations. Your team: You will be working in the Financial Institutions Credit Risk team aligned with the Investment Bank. The credit portfolio includes banks, brokers, fund managers, insurance companies, among others. You will serve as a Credit Analyst with a focus on preparing periodic credit reviews for financial institutions counterparties. Your expertise: To excel in this role, you should have: - A bachelor's degree or international equivalent, preferably in accounting, finance, economics, or mathematics. - 2-5 years of experience and demonstrated expertise in a similar analytical position. - Working knowledge of financial institutions and related products. - Quantitative risk analysis skills employed in a credit risk, market risk, or trading environment. - Interest in analyzing financial institutions, including Banks, Brokers, Insurance, and Sovereign counterparties and building up knowledge in financial markets, trading products incl. related documentation. - Good communication skills, with the ability to actively engage with credit officers in the hub location and other internal stakeholders. - Ability to foster cooperation, influence stakeholders, and encourage teamwork across global business divisions. - Fluency in English (fluent verbal and strong English writing skills). About Us: UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors. We have a presence in all major financial centers in more than 50 countries. Join us: At UBS, we know that it's our people, with their diverse skills, experiences, and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow, and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves. Disclaimer / Policy Statements: UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills, and experiences within our workforce.,

Role Overview: As a Compliance Officer for AFC & Compliance Testing at Deutsche Bank, you will be a part of the DWS Anti-financial Crime (AFC) and Compliance Testing team, responsible for evaluating the firm's compliance with laws and regulations. Your role will involve supporting the Americas Head of AFC and Compliance Testing in conducting reviews, tests, and branch inspections to ensure effective mitigation of AFC and Compliance risk within DWS in the Americas Region. Key Responsibilities: - Perform AFC and Compliance reviews to assess compliance with legal, regulatory, and internal firm policy requirements for DWS products and services in the Americas, and potentially in global reviews covering other regions. - Develop testing modules, conduct testing across DWS Americas business activities, and evaluate adherence to regulatory requirements. - Build and maintain relationships with business line leadership, Operations groups, Internal Audit, and other stakeholders in the region. - Support the development of testing universe and review plan based on the annual AFC and compliance risk assessment. - Design effective testing scripts to identify control gaps and non-compliance with laws and regulations. - Identify AFC and Compliance risks in business processes, assess control framework effectiveness, and guide the development of remediation plans. - Prepare and distribute reports detailing review findings and recommendations to DWS leadership and senior management. - Ensure findings and recommendations are entered into the issue tracking system for corrective actions and perform follow-up for proper resolution. - Meet with senior management to provide an overview of significant risks and control gaps. - Assist in drafting periodic reports to senior management and regulators and support ad hoc projects. Qualifications Required: - BA or BS Degree required, JD or MBA a plus. Additional Company Details: Deutsche Bank aims for a culture of empowerment, responsibility, commercial thinking, initiative, and collaboration. The company values continuous learning, training, and development to aid in career progression. They promote a positive, fair, and inclusive work environment, welcoming applications from all individuals. Visit the company website for further information: [Deutsche Bank Website](https://www.db.com/company/company.htm),

Your role: - Collaborate with associates on the Clearance & Settlements team and triage any outstanding escalations and issues brought forward. - Perform the day-to-day International Settlement processes on behalf of UBS Financial Services, and all associated controls related to settlement, trade failure, and buy-ins. - Manage risk associated with trade settlements in order to preserve the firm's reputation and maintain top-level client service. - Collaborate with fellow Operations teams (Middle Office, ACATs, Corporate Actions, etc) to accomplish goals. - Provide prompt and accurate responses to systemic requests from Client Branches and email inquiries for broker dealer firms. - Able to identify issues and escalate to the right stakeholders in a timely manner to avoid any financial or firm risk. - Participate in team meetings to share best practices and volume trends. - Maintain up-to-date knowledge of regulatory requirements and industry best practices. - Ensure SOPs are up to date and reviewed on an ongoing basis. Your expertise: - 1-5 years financial services/securities industry experience. - Bachelor's degree in finance, Business Administration, or a related field. - Able to multi-task and interact with multiple clients and business partners simultaneously. - Highly motivated with the ability to learn quickly within a pressured environment. - Work in a team environment. - Attention to detail and ability to work under pressure. - Proficiency in Microsoft Office Suite, particularly Excel. - Strong communication and interpersonal skills. About us: UBS Financial Services Inc. is a leading firm in the financial services industry, dedicated to providing exceptional wealth management service and innovative solutions to our clients. We are seeking a highly motivated and experienced professional to join our team as a Clearance & Settlements associate. UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors. We have a presence in all major financial centers in more than 50 countries. At UBS, we know that it's our people, with their diverse skills, experiences, and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow, and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves. UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills, and experiences within our workforce.,

As a Clearance & Settlements Associate at UBS Financial Services, your primary responsibility will be to collaborate with associates on the Clearance & Settlements team to address any outstanding escalations and issues. You will be tasked with performing day-to-day International Settlement processes and ensuring all associated controls related to settlement, trade failure, and buy-ins are maintained. Your role will involve managing risks associated with trade settlements to uphold the firm's reputation and deliver top-level client service. Additionally, you will work closely with fellow Operations teams such as Middle Office, ACATs, and Corporate Actions to achieve shared goals. Key Responsibilities: - Collaborate with associates to handle outstanding escalations and issues effectively - Perform International Settlement processes and maintain related controls - Manage risks associated with trade settlements to uphold the firm's reputation - Work with Operations teams to achieve common objectives - Provide prompt and accurate responses to systemic requests from Client Branches and broker dealer firms - Identify issues and escalate them to the relevant stakeholders promptly - Participate in team meetings to share best practices and volume trends - Stay updated on regulatory requirements and industry best practices - Review and update Standard Operating Procedures (SOPs) regularly Qualifications Required: - 1-5 years of experience in the financial services/securities industry - Bachelor's degree in finance, Business Administration, or a related field - Ability to multitask and engage with multiple clients and business partners simultaneously - Highly motivated with a quick learning ability in a high-pressure environment - Team player with attention to detail and ability to perform under pressure - Proficiency in Microsoft Office Suite, especially Excel - Strong communication and interpersonal skills About UBS: UBS Financial Services Inc. is a prominent firm in the financial services industry, dedicated to offering exceptional wealth management services and innovative solutions to clients worldwide. UBS is the world's largest and the only truly global wealth manager, operating through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. With a presence in over 50 countries, UBS stands out for its global reach and extensive expertise. UBS's Commitment: UBS values its diverse workforce and is committed to empowering individuals from various backgrounds. As an Equal Opportunity Employer, UBS fosters an inclusive culture that celebrates employees" skills, experiences, and perspectives. The company prioritizes collaboration and recognizes that great work is achieved through teamwork. If you require reasonable accommodation or adjustments during the recruitment process due to disability, feel free to contact UBS for support.,

As a part of FIS, you will be responsible for global asset administration, maintaining records of transactions related to syndication loans and the private debt market. Your role will involve researching and resolving complex operational requests efficiently. The team you will be joining focuses on providing market-leading growth solutions and operational services to the investment bank and broker-dealer community. The solutions offered include loan syndication, capital markets, private debt, and middle market services. With over 2500 FIS employees globally, the team processes more than a billion transactions across various products, utilizing the latest technology stack and monitoring tools to ensure seamless operations. Additionally, the team boasts an annual revenue of $1.1 billion, serving 68 of FIS's top 125 clients. **Key Responsibilities:** - Perform day-to-day operational tasks related to global asset administration - Collaborate with client service, settlement teams, and onshore support for issue resolution - Ensure accurate and timely completion of assigned tasks - Maintain clear communication with US Managers and support teams - Respond to client service escalated emails promptly - Participate in cross-team collaboration to ensure end-to-end delivery - Provide status updates on problem resolutions and outstanding issues - Contribute ideas for process improvement to enhance team efficiency **Qualifications Required:** - Bachelor's degree or equivalent education, training, and work experience - Minimum of 4 years of work experience in financial services - Strong written and verbal communication skills - Flexibility to support business during extended hours - Proficiency in MS-Excel - Quick learner with a proactive approach to handling additional tasks If you have experience in loan syndication and financial services, fluency in English, and excellent communication skills, it would be considered an added advantage.,

As a Relationship Partner within the Commercial & Investment Bank Wholesale KYC Operations team at our company, your role will involve managing the Front Office relationship for business requests in KYC Onboarding, Remediation, and Renewals for India. You will play a crucial part in facilitating the end-to-end client onboarding process and ensuring that all due diligence documentation is sourced and delivered to the Wholesale Client Onboarding team for incorporation into the KYC platform. Your collaboration with Bankers, Operations, Credit, Legal, and Compliance teams will be essential in providing efficient and timely onboarding of new and existing client relationships to the JP Morgan infrastructure. **Key Responsibilities:** - Work closely with the Front Office focusing on MNC & HQ Corporates, Fintech/NBFIs, broker-dealers, Insurance, etc., and potentially directly with clients to manage new business requests and scheduled renewals, facilitating the KYC process end-to-end. - Act as a Subject Matter Expert and Due Diligence expert to guide clients through the KYC requirements and variations of documents to fulfill due diligence requirements. - Conduct in-depth analysis on the ownership structure of the client using publicly available sources or client documentation, seeking additional confirmation or approvals as necessary. - Liaise regularly with the business for workload planning, review status of key onboardings, prioritize open requests, and collaborate with key stakeholders such as Legal, Compliance, Credit, and Operations to develop strong partnerships, eliminate roadblocks, and ensure continuity of information flow. - Manage personal workload and priority items, ensuring timely escalation of key risks/issues to management while maintaining timelines. - Stay informed on any changes to processes, procedures, regulatory requirements, and maintain open verbal dialogue with colleagues across the region. - Identify and implement process improvements, offer guidance and support on key process and technology initiatives to the business. **Qualifications Required:** - Minimum of 3 years of experience in KYC/Client Onboarding/Audit/Control/Risk/Anti-Money Laundering within the Banking Industry. - Working knowledge of KYC/Compliance/AML procedures and standards. - Strong time management, organizational, and relationship-building skills. - Quality client focus, strong controls mindset, and excellent customer service skills, including oral and written communication. - Prior experience in adhering to controls and compliance standards. - Bachelor's Degree in Finance, Economics, or related disciplines. In addition to the above details, if there are any additional company-specific information provided in the job description, please share it.,

Are you looking for an opportunity to be a part of a great team with a winning culture, empowered to serve our customers with a high-quality set of products and services maintaining the highest standards of operational excellence You have found the right team! In this role as a Relationship Partner within the Commercial & Investment Bank Wholesale KYC Operations team, you will be responsible for managing the Front Office relationship for business requests in KYC Onboarding, Remediation, and Renewals for India. You will facilitate the end-to-end client onboarding process, ensuring all due diligence documentation is sourced and delivered to the Wholesale Client Onboarding team to incorporate into the KYC platform. You will be part of a team that operates in close partnership with Bankers, Operations, Credit, Legal, and Compliance to provide efficient and timely onboarding of new/existing client relationships to the JP Morgan infrastructure. **Key Responsibilities:** - Work closely with the Front Office focusing on MNC & HQ Corporates, Fintech/NBFIs, broker dealer, Insurance, etc., and potentially direct with clients to manage new business requests received as well as scheduled renewals from the Front Office and facilitate the KYC process end-to-end - Act as a Subject Matter Expert (SME) and Due Diligence expert to guide clients through the KYC requirements and variation of documents which may fulfill due diligence requirements - Conduct in-depth analysis on the ownership structure of the client on publicly available sources (not limited to company registries) or client documentation, and seek additional confirmation or approvals as required - Liaise regularly with the business to conduct workload planning, review the status of key onboardings, prioritize open requests, and collaborate with key stakeholders such as Legal, Compliance, Credit, and Operations to develop strong partnerships, eliminate roadblocks, and ensure continuity of information flow across the groups - Manage personal workload and priority items, ensure timely escalation of key risks/issues to management maintaining timelines - Keep informed of any changes to processes and procedures, regulatory changes, and ensure open verbal dialogue with colleagues across the region - Identify and execute process improvements, provide guidance, and support on key process and technology initiatives to the business **Qualification Required:** - Minimum of 3 years of experience in KYC / Client Onboarding / Audit / Control / Risk / Anti-Money Laundering within the Banking Industry - A working knowledge of KYC/Compliance/AML procedures and standards - Strong time management, organizational, relationship building skills - Quality client focus, strong controls mindset, and strong customer service skills (e.g., oral and written communication skills) - Prior experience of adhering to controls and compliance standards - Bachelor's Degree in Finance, Economics, or other related disciplines The job description does not contain any additional details about the company. ,

You will be joining FIS, a leading fintech company that plays a significant role in nearly every market worldwide. The inclusive and diverse teams at FIS work collaboratively to advance the world of fintech. As part of the Loan Syndication and Operations team at FIS, your responsibilities will include: - Having a strong operational knowledge of the CDO/CLO market and its reporting requirements. - Operating in a deadline-driven environment that emphasizes service quality. - Working closely with account managers and relationship managers to provide top-notch services and swift problem resolutions. You will be part of a team that combines market-leading growth solutions and premier operational services catering primarily to the investment bank and broker-dealer community. Your role will involve handling loan syndication, capital market, private debt, and middle-market solutions, processing over a billion transactions on any given product. The team generates an annual revenue of $1.1 billion and serves 68 of FIS's top 125 clients. Your day-to-day tasks will include: - Acting as a Subject Matter Expert in compliance reporting. - Liaising with clients and internal teams to research and resolve issues. - Developing and maintaining standard operating procedures. - Tracking process metrics. - Providing guidance and training to junior team members. - Ensuring all activities have adequate control points to mitigate escalations. To excel in this role, you will need: - A Bachelor's degree or equivalent education and work experience. - 7-10 years of relevant industry experience. - A deep understanding of CLO compliance structure. - Proficiency in various financial processes. - Excellent communication skills. - The ability to interact effectively with clients and global counterparts. - Proficiency in Microsoft Excel, including VBA Macro. - Flexibility to support business in extended hours. At FIS, you will have the opportunity to learn, grow, and make a significant impact on your career. The company offers extensive health benefits, best-in-class career mobility options, award-winning learning offerings, an adaptable home-office work model, and the chance to collaborate with global teams and clients. FIS is committed to protecting the privacy and security of personal information processed in providing services to clients. Recruitment at FIS primarily operates on a direct sourcing model. FIS does not accept resumes from recruitment agencies not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings.,

Role Overview: As a DPM Portfolio Manager, VP at Deutsche Bank in Mumbai, India, you will be an essential part of the discretionary portfolio management (DPM) team. Your role will involve assisting the Sales, Structuring, and Product Management teams in delivering financial products and services to clients. You will be responsible for conducting product selection, specifically choosing investment opportunities aligned with market events and customer trends. Additionally, you will promote and explain the characteristics of products to Sales and the bank's clients, collaborating with non-client facing product management roles as necessary. Your responsibilities will include organizing meetings with the salesforce to introduce new and existing products, participating in client meetings to discuss product opportunities within the market context, and analyzing and selecting securities to meet clients" needs. Key Responsibilities: - Involved in strategic business planning and control, advising on the development of investment products and ensuring alignment with relevant internal stakeholders while adhering to internal policies and external regulations. - Oversight on the delivery of teams and responsibility for improving/streamlining processes. Qualifications Required: - More than 10 years of experience in equity markets in India, including 5 years in managing equity funds/portfolios for clients. - Deep understanding of macro-economic factors and dynamics affecting equity markets, particularly in the Indian context, and fundamental analysis experience. - Excellent communication and interpersonal skills to convey market views and outlook to clients and front office salespeople, including preparing pitch books and presentations. Proficiency in Excel and PowerPoint required. - Strong connections with equity market participants in India, such as brokers, dealers, fund managers, and economists. - Ability to manage customized portfolios for clients based on their risk-return profile, deliver superior returns over relevant benchmarks consistently, and stay updated with industry trends. - Strong understanding of the regulatory environment and operational and settlement processes. Additional Details about the Company: Deutsche Bank strives for a culture where employees are empowered to excel together daily, acting responsibly, thinking commercially, taking initiative, and working collaboratively. They value a positive, fair, and inclusive work environment, welcoming applications from all individuals. Visit their company website for more information: [Deutsche Bank Company Website](https://www.db.com/company/company.html).,

As a software developer at FIS, you will be responsible for analyzing, designing, programming, debugging, and modifying software enhancements and new products used in various computer programs. You will interact with product managers and users to define system requirements, participate in software design meetings, and write technical specifications based on conceptual design and business requirements. Additionally, you will write code, complete programming tasks, and perform testing and debugging using current programming languages and technologies. Your role will involve completing documentation and procedures for installation and maintenance. Key Responsibilities: - Analyze, design, program, debug, and modify software enhancements and new products - Interact with product managers and users to define system requirements - Write technical specifications based on conceptual design and business requirements - Write code, complete programming tasks, and perform testing and debugging - Complete documentation and procedures for installation and maintenance Qualifications Required: - Bachelor's Degree in Computer Engineering, Computer Science, or related discipline - 6+ years of experience - Fluent in English - Excellent communicator with the ability to discuss technical and commercial solutions - Attention to detail and track record of authoring high-quality documentation - Organized approach in managing and adapting priorities according to client and internal requirements - Self-starter with a team mindset About the Company: FIS is a leading fintech solutions provider with a diverse and inclusive team. Our solutions touch nearly every market, company, and individual globally. We value collaboration and celebrate success together. Join us in advancing the world of fintech at FIS. About the Team: The team at FIS focuses on enhancement and support for the FIS Securities Processing Manager PHASE3 product, a real-time securities processing system used by broker/dealers and correspondent clearing firms. If you are an experienced HP Tandem COBOL programmer, knowledgeable in HP Tandem utilities, FUP, TACL, Pathway, Batchcom, and SQL language, with a background in computer engineering or computer science, we invite you to join our team. You will be working on enhancement and support projects for the PHASE3 product, ensuring the quality and utilization of FIS products meet client needs. Your responsibilities will include recreating, documenting client issues, and troubleshooting problems to support product quality. Additional Details: - A multifaceted job with high responsibility and opportunities for personal development - Competitive salary and benefits package - Career development tools and resources available - Commitment to privacy and security of personal information - Direct sourcing model for recruitment Join FIS and be a part of our diverse and inclusive team dedicated to shaping the future of fintech.,