RTA / Stock broker back office candiddate

Job Profile: Back Office Executive – Physical Shares Department
Company: SNS Wealth Advisours LLP (ShareKhoj)
Department: Physical Shares Services
Job Location: Thane, Maharashtra
Job Type: Full-time
Job Summary
We are looking for a detail-oriented and responsible Back Office Executive to handle the end-to-end documentation, processing, tracking and coordination of physical share-related cases. The candidate will coordinate with clients, companies, Registrars and Transfer Agents (RTAs), depositories and other relevant authorities to facilitate the recovery and dematerialisation of physical shares.
Key Responsibilities
1. Document Verification and Case Assessment
Review physical share certificates and supporting documents received from clients.
Verify shareholder names, folio numbers, certificate numbers, distinctive numbers and share quantities.
Identify discrepancies relating to name changes, face-value splits, mergers, bonus issues and other corporate actions.
Check the status of shares and identify the procedure applicable to each case.
2. Physical Shares Processing
Handle documentation and procedural requirements for:
Physical share dematerialisation.
Duplicate share certificate applications.
Transmission of shares in case of a deceased shareholder.
IEPF share and dividend recovery claims.
Name correction, deletion or change.
Signature mismatch and KYC updates.
Address changes and other folio-related matters.
Prepare application forms, affidavits, indemnity bonds, declarations and other required documents.
Coordinate notarisation, stamp paper requirements and other supporting documentation.
3. Client and RTA Coordination
Communicate with clients for pending documents, signatures, KYC details and clarifications.
Coordinate with company secretaries, company officials, RTAs, depositories and IEPF-related authorities as required.
Respond to document deficiencies and process queries.
Follow up on pending applications and maintain proper communication records.
4. Case Tracking and Reporting
Maintain Excel sheets and case-wise records of client details, folio information, documents, application status and pending actions.
Track important dates, follow-ups, deadlines and case progress.
Prepare regular status reports for the Operations Head.
Maintain digital and physical records in an organised manner.
5. Demat and Closure Coordination
Coordinate with clients and depository participants for demat account details and Client Master List (CML).
Track successful credit of recovered shares into the client's demat account.
Verify completion of assigned work and update case records.
Ensure proper document handover and case closure.
6. Quality Control and Confidentiality
Ensure accuracy and completeness of documents before submission.
Follow internal checklists and standard operating procedures.
Protect confidential client information and original share certificates.
Escalate complex cases, discrepancies and procedural issues to the Operations Head.
Required Skills and Qualifications
Graduate in any discipline; commerce graduates will be preferred.
Basic knowledge of MS Excel, Word, email and PDF/document handling.
Good written and verbal communication skills.
Strong attention to detail and document management skills.
Ability to manage multiple cases and follow up systematically.
Willingness to learn share market documentation and regulatory procedures.
Experience in physical shares, dematerialisation, RTA operations, IEPF claims or securities back-office work will be an advantage.
Preferred Candidate Profile
Organised, patient and systematic in handling documentation.
Responsible while dealing with confidential information and original documents.
Proactive in follow-ups and capable of meeting internal timelines.
Able to work independently while coordinating with the operations team.
Performance Expectations
Accuracy and completeness of applications.
Timely follow-ups and case-status updates.
Minimum avoidable document rejections and errors.
Proper maintenance of case files and records.
Timely coordination with clients and external stakeholders.
To Apply: Interested candidates may share their updated resume along with details of relevant work experience.

Work arrangement
No