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.

📌 Compliance & Back Office Manager ( NSE / BSE / MCX ) (Gurugram)
🏢 A C Agarwal Share Brokers
📍 Gurugram