Compliance & Operations Manager

DPS Infratech; Greater Noida; On-site; INR 600,000 - 900,000; Full time

Job summary

DPS Infratech is seeking a Compliance/Regulatory Reporting professional for stock and commodity broking operations in the Delhi NCR region (Noida/Greater Noida).

You will manage day-to-day member-level compliance, oversee exchange reporting, monitor SEBI/MCX/NCDEX regulations, implement circulars, coordinate with internal teams, and handle inspections and audits to ensure regulatory adherence. This role requires RMS and surveillance experience to safeguard trading activities.

Qualifications

• Experience in compliance/operations in stock or commodity broking.
• Hands-on with SEBI/exchange circulars and reporting.
• Familiarity with RMS and surveillance systems.

Responsibilities

• Manage day-to-day member-level compliance activities for stock/commodity broking operations.
• Handle exchange reporting and regulatory submissions within prescribed timelines.
• Ensure compliance with SEBI, MCX, NCDEX and other applicable exchange regulations.
• Monitor and implement SEBI/exchange circulars, guidelines and regulatory changes.
• Coordinate with internal teams for effective implementation of regulatory requirements.
• Oversee RMS (Risk Management System) and surveillance-related compliance.
• Monitor trading activities and ensure adherence to applicable regulatory and exchange requirements.
• Prepare and maintain compliance records, reports, registers and documentation.
• Handle regulatory inspections, audits and queries from exchanges and regulatory authorities.

Skills

Compliance

Regulatory reporting

RMS and surveillance

SEBI/exchange rules

Audit readiness

Cross-team coordination

Tools

RMS

Job description

Key Responsibilities

• Manage day-to-day member-level compliance activities for stock/commodity broking operations.
• Handle exchange reporting and regulatory submissions within prescribed timelines.
• Ensure compliance with SEBI, MCX, NCDEX and other applicable exchange regulations.
• Monitor and implement SEBI/exchange circulars, guidelines and regulatory changes.
• Coordinate with internal teams for effective implementation of regulatory requirements.
• Oversee RMS (Risk Management System) and surveillance-related compliance.
• Monitor trading activities and ensure adherence to applicable regulatory and exchange requirements.
• Prepare and maintain compliance records, reports, registers and documentation.
• Handle regulatory inspections, audits and queries from exchanges and regulatory authorities.

Desired profile of the candidate

Preferred background:

• Compliance / Operations in a stock or commodity broking firm
• MCX/NCDEX experience
• Exchange reporting
• RMS and surveillance
• Member-level compliance
• Regulatory inspections/audits
• SEBI/exchange circular implementation

Location of Candidate: Delhi ncr, Noida, Greater Noida, Gurugram, Ghaziabad