ASHOK SAHA

Mobile: +91-967*******/810*******

E mail id: acw9ar@r.postjobfree.com

B.Com

With 10 years of experience in

- Surveillance - KYC checking- -Administration

- Risk Management - Banking operation - Branch coordinator

Currently Associated with Pario Financial Advisory Services, Kolkata

A strategic thinker with a flair for charting out strategies for risk management and collection contributing towards achieving organization goals regarding risk management.

Expertise in building relationship with business partners.

Possess excellent interpersonal, analytical, troubleshooting.

Surveillance & Risk Management

Monitoring Payment Collection and Risk of the client’s position for the company, Setting limits and monitoring it, interacting with business partners, dealers and clients, understanding their queries, assisting them in all way and to provide them better service. Prepare Reports and maintain Report Management System.

KYC dept

Checking KYC form as per policy, Maitaintaing data, providing training to clients and sub brokers.

Banking dept

Banking related works required in broking firm, (Example: Cheque entry passed, doing bank reconciliation, payout chq marking), coordinating with banks, clients and other dept.

Administration

Maintain attendance and Hr related records of all employees at Branch level, maintain all bills and vouchers, handle petty cash for branch, monitoring office assistants and field boys.

Branch coordinator

Maintain System Security at branch (all computers should be virus free and in working condition, taking server back up, doing all computer maintenance related works like LAN, Network and Internet Related work. Monitoring Dispatch section. Coordinate with Head Office and Zonal Office regarding Branch related query.

Since Nov’ 11 – Dec’13 Sr. Executive -Surveillance & Risk Management

Angel broking Ltd

Key Responsibility:

Primarily responsible for implementation and monitoring of risk policy.

Providing limit and monitoring the client level margins, Admin control, user maintenance.

Risk Management- Complete risk case follow-up, monitor Intraday, reliable & extreme case risk follow-up, alert to SB/dealer in case of MTM.

Keep updating with the relevant Regulatory, Exchange & Company rules & regulation.

Surveillance & limit enhancement - Minor increase in Limit to be provided as per rejection in Admin within the predefined time.

Pure risk case follow-up, submitting the case for legal case, arbitrations & providing all the requirement to CSO to ensure collection of pure risk.

Co ordination with banking team, DP & CSO for limits enhancements& shortage.

Providing support to HNI Clients and A Group Business Partners.

Oct’ 09 - Nov’11 Sr. Executive-Surveillance & Risk Management

SMC Global Securities Ltd

Key Responsibility:

Primarily responsible assisting Departmental Head and providing guidelines to team.

Setting and monitoring the client level margins, Admin control, user maintenance.

Providing support to HNI Clients and A Group Business Partners.

Monitoring the risk of the clients assigned as per companies rules and regulations.

Nov’06 – Oct’09. Branch Coordinator

India Infoline Ltd

Key Responsibility:

Maintain attendance and Hr related records of all employees at Branch.

Maintain all bank and cash records at branch.

Maintain all bills and vouchers.

Handle petty cash at branch

Maintain pay in and pay out records.

Preparing MIS report.

Maintain CMS records.

Maintain all clients details and giving customer service regarding bank related matters.

Maintain all assets records.

Maintain System Security at branch ( all computer should be virus free and in working condition, taking server back up, doing all computer maintenance related works like LAN, Network and Internet Related work ).

Monitoring Dispatch section.

Coordinate with Head Office and Zonal Office with Branch.

Maintain all statutory records like Trade license and Shop and establishment

Monitoring office assistants and field boys.

Jul’05 – Oct’06. Executive - Operation

Kotak Securities Ltd

KYC checking and verification as per policy.

Objection calling and objection resolved.

Jul’03 – Jun’05. Executive - Operation

East India Securities Ltd

Contract Note,Ledger Printing.

Operating Terminal for emergency Purpose.

B.Com in the year 2001,

Culcutta University, West Bengal

Diploma in Hardware & Network Engineering from C.M.C.

NCFM in Derivative Market Dealers Module.

NCFM in Commodity Market (NCDEX)Dealers Module.

NISM Risk Management & Operation.

NISM Currency Derivative.

NISM VIII – Equity Derivatives.

Parents : Sailendra Nath Saha & Hashi Saha.

Date of Birth : 28th August 1979.

Sex : Male.

Marital Status : Married.

Nationality : Indian.

Language Known : Bengali, Hindi and English.

Address : Green Land, Flat No- 3,102/1 Akshay Kumar Mukherjee Road,Kol-90.

(Ashok Saha)

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