Walk-in | Compliance and DP Operations Executive- Stock Brokers

Frontline Stock Brokers; Sector 10; Presencial; INR 650 000 - 950 000; Tempo integral

Resumo da oferta

Frontline Stock Brokers is seeking an experienced Compliance & Operations Manager to oversee SEBI, NSE, and NSDL compliance. You will manage client onboarding, KYC, AML, and demat operations while ensuring timely regulatory reporting and audit closures.

The role requires strong drafting, communication, and analytical skills, with proficiency in MS Excel and MIS reporting. Prior broking ops exposure is essential for success in this position.

Qualificações

• Strong knowledge of SEBI, NSE, NSDL and stock broking compliance.
• Experience in broking operations, DP ops, KYC/AML, regulatory reporting, and audits.
• Excellent drafting and communication skills.
• Strong analytical, coordination, documentation, and problem-solving abilities.
• Proficiency in MS Excel and MIS reporting.

Responsabilidades

• Handle compliance with SEBI regulations, NSE rules, clearing corporation requirements, and NSDL guidelines.
• Monitor regulatory updates and filings of regulatory returns, reports, and disclosures.
• Oversee client onboarding, KYC documentation, AML/PMLA compliance, and demat account operations.
• Monitor broking and DP operations, funds and securities settlement, margin reporting, and reconciliations.
• Handle investor grievances, regulatory queries, and compliance matters.
• Coordinate audits and close audit observations timely.
• Maintain compliance records, SOPs, reports, documentation.
• Coordinate with exchanges, depositories, auditors, and internal departments.

Conhecimentos

SEBI compliance

NSE compliance

NSDL compliance

Broking ops

DP operations

KYC/AML

Regulatory reporting

Audit processes

Drafting skills

Communication skills

Analytical skills

MS Excel

MIS reporting

Descrição da oferta de emprego

Job Description: Compliance & Operations Manager Stock Broking

Key Responsibilities

• Handling compliance with SEBI regulations, NSE rules, clearing corporation requirements, and NSDL guidelines.
• Monitor regulatory updates and ensure timely filing of regulatory returns, reports, and disclosures.
• Oversee client onboarding, KYC documentation, AML/PMLA compliance, and demat account operations.
• Monitor broking and DP operations, funds and securities settlement, margin reporting, and reconciliations.
• Handle investor grievances, regulatory queries, and compliance-related matters.
• Coordinate internal, statutory, and regulatory audits; ensure timely closure of audit observations.
• Maintain compliance records, SOPs, reports, and documentation.
• Coordinate with exchanges, depositories, auditors, and internal departments.

Required Skills & Competencies

• Strong knowledge of SEBI, NSE, NSDL, and stock broking compliance requirements is mandatory.
• Practical understanding of broking operations, DP operations, KYC/AML, regulatory reporting, and audit processes.
• Excellent drafting, written communication, and verbal communication skills.
• Good analytical, coordination, documentation, and problem-solving skills.
• Proficiency in MS Excel and MIS reporting.

Mandatory Certification

• NISM Series III-A Securities Intermediaries Compliance (Non-Fund) is preferred.
• Candidates who do not hold the certification must be willing to clear the NISM Series III-A examination after joining, within the timeline prescribed by the company and applicable regulatory requirements.

Key Performance Expectations

• Timely regulatory filings and compliance deliverables.
• Accurate reporting and effective compliance monitoring.
• Timely closure of audit observations and regulatory issues.
• Strong documentation, communication, and adherence to internal procedures.