Job Summary
The Manager – Operations & Compliance is responsible for managing end-to-end broking operations, ensuring regulatory compliance, overseeing reconciliations, coordinating audits, preparing MIS reports, and strengthening internal controls to ensure efficient and compliant business operations.
Key Responsibilities
- Manage end-to-end broking back-office operations, settlements, payouts, and reconciliations.
- Ensure compliance with SEBI, NSE, BSE, CDSL/NSDL, PMLA, KYC, and AML regulations.
- Coordinate internal, statutory, exchange, and regulatory audits and ensure timely closure of observations.
- Prepare and review MIS reports, operational dashboards, and management reports.
- Monitor client ledgers, fund movements, documentation, and operational risk controls.
- Develop, implement, and improve Standard Operating Procedures (SOPs) and internal process controls.
- Coordinate with Accounts, Compliance, RMS, Depository, and Operations teams for smooth execution.
- Ensure timely submission of regulatory reports and statutory filings.
- Identify operational risks and implement corrective and preventive actions.
- Drive process automation and continuous operational improvements.
Key Skills Required
- Financial Broking Operations
- Regulatory Compliance
- Audit & Inspection Coordination
- Reconciliation & Settlement
- MIS & Reporting
- Risk & Internal Controls
- Process Improvement
- Analytical & Problem-Solving Skills
- Stakeholder Management
- Team Leadership
Experience
- Minimum 8 years of experience in financial operations and compliance.
Key Performance Indicators (KPIs)
- Regulatory compliance and audit adherence.
- Accuracy and timeliness of settlements and reconciliations.
- Timely submission of regulatory filings and reports.
- Operational efficiency and process improvement.
- Accuracy of MIS and management reporting.
- Reduction in operational risks and compliance issues.
- Successful implementation of SOPs and internal controls.
Educational Qualification
- Graduate in Commerce, Finance, Business Administration, or a related field.
- MBA, CA (Inter), CS, or relevant professional certification preferred.
Technical Knowledge
- SEBI, NSE & BSE Regulations
- CDSL/NSDL Operations
- PMLA, KYC & AML Compliance
- Back Office & Broking Software
- Microsoft Excel & MIS Reporting
- Capital Market Operations
Behavioural Competencies
- Leadership
- Analytical Thinking
- Communication Skills
- Decision Making
- Problem Solving
- Accountability
- Team Collaboration
- Attention to Detail
Personal Attributes
- High integrity and ethical standards
- Self-motivated and proactive
- Strong organizational skills
- Result-oriented approach
- Ability to work under pressure
- Continuous learner
- Experience in Stock Broking, Capital Markets, or NBFC is preferred.
- Hands-on experience in audit coordination, reconciliations, regulatory reporting, and operational controls.
Pay: ₹125,000.00 - ₹150,000.00 per month
Benefits:
Application Question(s):
- How many years of experience do you have in Stock Broking Operations?
- Have you worked with a SEBI-registered Stock Broking Company?
- Do you have hands-on experience with NSE & BSE Operations?
- Do you have experience managing CDSL or NSDL operations?
- Have you coordinated SEBI, Exchange or Statutory Audits?
- Do you have experience in Client Settlement & Reconciliation?
- Are you familiar with KYC, AML and PMLA regulations?
Work Location: In person
