Compliance & Back Office Manager ( NSE / BSE / MCX )

A C Agarwal Share Brokers; Gurugram District; On-site; INR 600,000 - 1,000,000; Full time

Job summary

A C Agarwal Share Brokers is looking for a detail-oriented individual for Compliance Management and Back Office Operations in Gurugram District, India. The role involves ensuring compliance with financial regulations, managing trade processing, and monitoring client risk.

The ideal candidate will supervise back-office staff, maintain documentation, and prepare reports. Strong analytical skills and compliance knowledge are essential for success in this role.

Qualifications

• Experience with compliance regulations relevant to the financial industry.
• Familiarity with trade processing and back-office operations.
• Strong analytical skills to monitor risk and prepare reports.

Responsibilities

• Ensure compliance with regulations of Securities and Exchange Board of India and other exchanges.
• Manage trade processing, confirmation, and reconciliation.
• Monitor client risk and prepare reports for management.
• Supervise back-office staff and ensure timely operational tasks.

Job description

Compliance Management

• Ensure compliance with regulations of Securities and Exchange Board of India, National
• Stock Exchange, Bombay Stock Exchange, and Multi Commodity Exchange
• Handle regulatory filings, audits, and inspections
• Monitor changes in regulatory guidelines and implement necessary updates
• Maintain proper documentation and records as per compliance standards

Back Office Operations

• Manage trade processing, confirmation, settlement, and reconciliation
• Oversee client onboarding, KYC, and account maintenance
• Ensure accuracy in contract notes, ledgers, and margin reporting
• Coordinate with depositories, clearing members, and exchanges

Risk & Reporting

• Monitor client risk, margin requirements, and exposure limits
• Prepare MIS reports for management
• Identify operational risks and implement control measures

Team Management

• Supervise and guide back‑office staff
• Ensure timely completion of daily operational tasks
• Train team members on compliance and operational procedures.