Walk-in | Compliance and Operations Manager

Frontline Stock Brokers; Sector 10; In loco; INR 900.000 - 1.300.000; Tempo pieno

Descrizione del lavoro

Frontline Stock Brokers in India seeks a Compliance & Operations Manager to oversee SEBI regulations, NSE/NSDL guidelines, and broking operations. You will manage onboarding, KYC/AML, regulatory reporting, and audit closures.

The role requires strong drafting and MIS reporting, with readiness to pursue NISM III-A certification if not held. You will coordinate with exchanges, depositories, auditors, and internal teams.

Competenze

• Must have strong knowledge of SEBI, NSE, NSDL compliance requirements.
• Experience with broking operations, DP operations, and regulatory reporting.
• Excellent drafting and written/verbal communication skills.
• Strong analytical, coordination, and problem-solving abilities.

Mansioni

• Ensure compliance with SEBI regulations, NSE rules, and NSDL guidelines.
• Monitor regulatory updates and timely filing of returns and disclosures.
• Oversee client onboarding, KYC documentation, and AML/PMLA compliance.
• Manage demat operations, fund/securities settlement, and margin reporting.
• Handle investor grievances and regulatory queries; manage audits.
• Coordinate internal, statutory, and regulatory audits and close observations.
• Maintain compliance records, SOPs, and documentation.
• Collaborate with exchanges, depositories, auditors, and internal teams.

Conoscenze

SEBI NSE NSDL

KYC AML compliance

Audit & regulatory reporting

Documentation & communication

Strumenti

MS Excel

MIS reporting

Descrizione del lavoro

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.