Roles and Responsibilities:
- Dealer should be responsible for generating orders as per fund manager instruction after considering different category of clients/account, monitoring execution happening at broker's end through Bloomberg EMSX and critically analyse the way broker's execution.
- After market hors dealer should give confirmation to Operation Department on executed trades.
- He should provide quotes (Market Making) on exchanges after critically reviewing stock/fund position in proprietary investment.
- Dealer should maintain MIS on Status of order received from FM with following details:
- Order received from FM.
- Order placed to broker for execution.
- To give confirmation on order executed to Operation Department.
- Pending Order.
- Unplaced Order.
- Dealer should always ensure that all statutory and internal checks are properly validated before placing orders for execution and are complied with regulatory requirements.
- At the EOD he should generate report in excel on price performance for 1 day, MTD and YTD on securities, indices and fund specified by management.
- On monthly basis he has to give list of securities to Compliance which has more than USD 1 million daily Average Turnover during last one year.
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