Senior Executive – Finance (Assessment) will be responsible for financial analysis, client assessment, risk evaluation, and ensuring compliance with regulatory requirements within a stock broking environment. The role involves analyzing financial health, monitoring client exposures, and supporting decision-making related to credit and margin assessments. Key Responsibilities Financial Assessment & Analysis Evaluate financial statements of clients (retail/HNI/institutional) for creditworthiness. Conduct profitability, liquidity, and risk analysis. Assess margin requirements, exposure limits, and trading patterns. Perform periodic reviews of client portfolios and financial standing. Risk Management & Compliance Monitor client positions and ensure adherence to risk management policies. Ensure compliance with SEBI, Exchange (NSE/BSE), and internal guidelines. Identify early warning signals for financial risk and elevate accordingly. Coordinate with RMS (Risk Management System) teams for exposure control. Account & Margin Assessment Review margin adequacy and collateral valuation. Validate pledged securities and assess haircut applicability. Ensure accuracy of ledger balances and margin reporting. Reporting & Documentation Prepare MIS reports related to client exposure, risk, and financial performance. Maintain audit-ready documentation for regulatory reviews. Assist in internal and external audits by providing financial insights. Coordination & Stakeholder Management Collaborate with Dealers, Sales, Risk, and Compliance teams. Communicate with clients regarding margin shortfalls and financial requirements. Support management in financial decision-making and strategy planning. Process Improvement Identify opportunities to improve assessment processes and risk frameworks. Assist in automation of finance and risk assessment models. Key Skills & Competencies Strong understanding of capital markets, derivatives, and brokerage operations Expertise in financial statement analysis and credit assessment Knowledge of SEBI regulations, margin norms, VAR/SPAN calculations Advanced proficiency in Excel, financial modeling, and MIS reporting Analytical mindset with high attention to detail Strong communication and stakeholder management skills Preferred Experience Experience in stock broking, NBFC, or financial services firms Exposure to RMS systems and trading platforms Working knowledge of margin funding, pledge/unpledged process, and collateral management Key Performance Indicators (KPIs) Accuracy of financial assessments and reports Reduction in client risk exposure Compliance adherence and audit performance Timely escalation and resolution of risk issues #J-18808-Ljbffr