Compliance Executive Officer Back Office Operations

AnandRathi; Jodhpur; On-site; INR 600,000 - 1,200,000; Full time

Job summary

AnandRathi seeks a detail-oriented Compliance Executive to support back office operations in stock broking. The role focuses on regulatory adherence to SEBI, NSE, BSE, CDSL/NSDL and related guidelines, with emphasis on KYC/AML, client onboarding, and audit readiness.

The ideal candidate has 2–6 years of experience in compliance or back office within financial services, excellent documentation skills, and the ability to coordinate across Operations, Risk, Accounts and IT to close observations on

Qualifications

• Graduate or postgraduate degree in finance, commerce, business administration or related discipline.
• Professional qualifications such as CS, CA, CMA, NISM or capital-market certifications are advantageous.

Responsibilities

• Monitor day-to-day back office operations for regulatory compliance.
• Ensure adherence to SEBI, NSE, BSE, CDSL, NSDL guidelines.
• Identify process gaps and operational risks; coordinate with relevant teams.
• Prepare, review and submit regulatory reports and returns.
• Maintain records for audits and regulatory inspections.
• Track regulatory circulars and assess impact on operations.
• Support implementation of new regulatory requirements.

Skills

Stock Broking Back Office Operations

Regulatory Compliance

SEBI/NSE/BSE Regulations

KYC/AML Compliance

MS Excel & MIS Reporting

Audit & Documentation

Education

Graduate/Postgraduate in Finance, Commerce, Business Administration or related discipline

CS, CA, CMA, NISM certifications

Tools

MS Excel

MIS Reporting Tools

Job description

Job Description Compliance Executive / Officer - Back Office Operations

Department: Compliance / Back Office Operations
Industry: Stock Broking / Capital Markets
Location: [Location]
Experience: 2-6 Years
Employment Type: Full-Time

Job Summary

We are looking for a detail-oriented Compliance professional to support compliance monitoring and regulatory requirements across Back Office Operations of a stock broking firm. The role will involve ensuring adherence to SEBI, NSE, BSE, CDSL/NSDL and other applicable regulatory requirements, monitoring operational processes, identifying compliance gaps, and coordinating with internal teams for timely resolution.

Key Responsibilities

• Monitor day-to-day Back Office Operations to ensure compliance with applicable regulatory and internal policies.
• Ensure adherence to SEBI, NSE, BSE, CDSL, NSDL and other regulatory guidelines applicable to broking operations.
• Conduct periodic compliance checks and identify process gaps, exceptions and operational risks.
• Coordinate with Operations, Risk, Accounts, IT and other relevant teams for closure of compliance observations.
• Ensure timely preparation, review and submission of regulatory and compliance reports/returns.
• Assist in maintaining records and documentation required for internal audits, statutory audits, compliance reviews and regulatory inspections.
• Track regulatory circulars and updates issued by SEBI, exchanges and depositories and assess their impact on operational processes.
• Support implementation of new regulatory requirements and process changes.
• Monitor compliance with KYC, AML, client onboarding, UCC, demat and related regulatory requirements.
• Review exception reports and ensure timely resolution of discrepancies.
• Assist in responding to audit observations, exchange queries and regulatory requirements.
• Maintain proper compliance documentation, MIS and trackers for management review.
• Escalate material compliance breaches, operational irregularities and unresolved exceptions to the appropriate authority.
• Support development and improvement of SOPs, compliance checklists and control mechanisms.
• Perform any other compliance-related responsibilities assigned by management.

Key Skills & Competencies

• Strong knowledge of Stock Broking Back Office Operations and Capital Markets.
• Good understanding of SEBI, NSE, BSE, CDSL and NSDL regulations.
• Knowledge of trade life cycle, settlement process, margin, reconciliation and client account operations.
• Understanding of KYC/AML and regulatory compliance requirements.
• Strong analytical and problem-solving skills.
• Good knowledge of MS Excel and MIS reporting.
• Strong attention to detail and ability to identify discrepancies.
• Good communication and coordination skills.
• Ability to work within strict regulatory timelines.
• Strong documentation and audit-handling skills.

Educational Qualification

• Graduate/Postgraduate in Finance, Commerce, Business Administration or related discipline.
• Professional qualifications such as CS, CA, CMA, NISM certifications or relevant capital-market certifications will be an added advantage.

Preferred Experience

• 2-6 years of experience in Compliance, Back Office Operations, Stock Broking, Capital Markets, Depository or Financial Services.
• Candidates with hands-on experience in regulatory compliance and exchange/depository operations will be preferred.