1) Requirements — Stock Broking Firm Setup

A) Teams (HO + Branch + Dealing Room)

• Branch Manager (opening/closing + approvals)
• Dealing/Dealer Team (terminal coverage + execution)
• Trading Desk Head (desk roster + discipline)
• Relationship Manager (RM) (client servicing + retention)
• Advisory/Research Support (call coordination + updates)
• Operations Executive (KYC/DP/settlement support)
• Back Office / MIS (reports + reconciliation)
• Compliance Officer (logs + checks + audits)
• Customer Support / Tele desk (tickets + queries)
• IT/Terminal Support (connectivity + devices)
• Security Guard (entry discipline)
• HR/Accounts (salary + payroll export)

B) Shift Inputs (Market Practical)

• Pre-Market Shift (terminal checks + readiness)
• Market Hours Shift (live desk coverage)
• Post-Market Shift (reports + settlement prep)
• Extended Shift (expiry days / high volatility)
• Weekend/Training Shift (optional)

C) Policies (Control + Proof + Compliance)

• Grace time (example: 10 min)
• Late/Early rules (pre-market/market desk strict)
• Half-day (example: <50% shift)
• OT slab (30 min rounding)
• OT approval (Desk Head/Branch Manager → HR)
• Branch/desk mapping (trading desk / ops desk / support desk)
• Audit log (edits + approvals record)

D) Device + Network Requirements

• Face Attendance / Biometric (anti-proxy + fast punch)
• LAN/WiFi internet (cloud dashboard)
• UPS backup (power cuts)
• Admin PC/Laptop (reports + payroll export)

2) Use Cases (Broking Real Scenarios)

1) Market Opening Readiness

Market time par desk ready: pre-market punch-in proof + alerts.

2) Dealer Terminal Coverage

Execution delay avoid: dealer roster discipline + desk mapping.

3) Operations / Settlement TAT

Back office bottleneck reduce: ops desk coverage with shifts.

4) Compliance/Audit Readiness

Audit me easy proof: role-based attendance + audit logs.

5) Expiry Day OT Control

High workload me approved OT only payroll me add.

3) Common Problems (Stock Broking)

1. Late dealer reporting → missed orders, client anger
2. Desk coverage gaps → service delays
3. Ops backlog → settlement issues
4. Unapproved OT claims → payroll disputes
5. Compliance logs missing → audit risk
6. Multi-branch visibility gap → weak control

4) Broking Workflow Mapping

Pre-Market (Before Opening)

• Dealers + IT/support punch-in
• Desk head confirms minimum terminal coverage
• Critical roles late alerts (optional)

Market Hours

• Dealer desk roster monitoring
• Break rotation with minimum coverage
• Support desk continuity

Post-Market

• Ops/back office punch-out discipline
• OT auto calculation + approval
• Payroll export + audit-ready logs

5) Software Features (Must-Have)

• Role-based attendance (dealer/trading/RM/ops/compliance)
• Multi-branch mapping (HO + branches)
• Desk/Counter mapping (trading desk / ops desk / support desk)
• Multi-shift roster (pre-market/market/post-market)
• Late/Early rules with grace
• OT approval workflow
• Mobile dashboard (owner/branch head)
• Payroll export Excel/CSV
• Audit log (edits + approvals)

Optional Add-ons

• Daily WhatsApp report (late/absent/OT)
• Access control for dealing room (optional)
• CCTV integration for entry/exit + dealing room

6) Shift + OT Policy (Recommended)

Item	Recommended	Why it matters
Grace	10 min	Practical tolerance
Pre-Market Late Rule	After grace → strict	Opening readiness
Desk Coverage	Minimum roster rules	Client servicing protection
Half Day	< 50% shift	Fair payroll
OT Slab	30 min rounding	Standard OT
OT Approval	Desk Head/BM → HR	Disputes reduce

7) Recommendations (Broking Control Tips)

• Pre-market roster fixed rakho (opening miss na ho)
• Dealer desk coverage minimum mandatory rakho
• Expiry day OT pre-approve karo
• Compliance log daily review habit banao
• Daily report branch head ko auto bhejo

8) Example Setup (Sample Broking – 1 HO + 6 Branches)

• Branches: 6
• Shifts: Pre-market (8:30–9:15), Market (9:15–3:45), Post-market (3:45–6:30)
• Grace: 10 min
• OT slab: 30 min
• Approval: Desk Head → Branch Manager → HR
• Payroll: Monthly Excel export + audit

Desk/Role Mapping Example

Role	Shift	Branch	Mapping
Dealer	Market	Branch A	Trading Desk Terminal 1
RM	Market	Branch A	Client Desk
Operations	Post-market	Branch A	Settlement Desk
Compliance	Post-market	HO	Audit Review
Support	Market	Branch A	Helpdesk

9) Reports (Owner + HR Friendly)

• Daily attendance (present/absent/late)
• Branch-wise summary (late list + absentee)
• Role-wise presence (dealers/RM/ops/compliance)
• OT requested vs approved
• Monthly payroll export (Excel/CSV)
• Desk coverage report (optional)

Payroll Export Columns (Recommended)

• Employee ID / Name
• Branch + Role
• Shift tag
• Present/Absent/WO
• Late count + minutes
• Approved OT hours
• Payable days / remarks

10) Implementation (Modi Group Process)

1. Requirement discussion (branches, roles, shifts, desk mapping)
2. Site visit (device placement + network)
3. Device install (Face/Bio) + testing
4. Policy setup (late/OT approvals)
5. Branch + desk mapping (trading/ops/support)
6. Training (branch admin + HR + desk head)
7. Test payroll export
8. Go-live + support

11) FAQs

Q1) Multi-branch dashboard supported?
Yes, branch-wise dashboards supported.

Q2) Trading desk mapping possible?
Yes, dealer/terminal desk mapping supported.

Q3) OT approval?
Approved OT only payroll me count hota hai.

Q4) Payroll export?
Excel/CSV export ready milta hai.

12) Contact / Demo – Ahmedabad

Share for exact quote: branches count, staff count (dealers/RM/ops/compliance), shifts, desk mapping needs, OT policy, payroll format.

📞 9664988206 / 7405851025
📧 modigroupahm@gmail.com

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