– Assistant Manager / Manager – Compliance & Broking Operations

Department: Compliance & Operations

Industry: Stock Broking / Financial Services

Experience: 3–6 Years

Employment Type: Full time

Job Summary

We are looking for an experienced Compliance & Broking Operations professional to manage compliance activities for branches and Authorized Persons (APs), monitor trading activities, verify supporting documentation, handle escalations, and ensure that operational activities are carried out in accordance with company policies and regulatory requirements.

Key Responsibilities

- Manage day-to-day compliance activities for branches and Authorized Persons (APs) .
- Monitor and review trading activities to identify high-risk, high-volume, or unusual transactions .
- Conduct regular verification of trade activities, including weekly expiry-related transactions .
- Review deficiencies and communicate requirements for supporting documents/evidence to the concerned branches and APs.
- Follow up with branches, APs, and internal teams for timely submission of required documents.
- Handle compliance-related queries received through calls and emails.
- Manage escalations and coordinate with relevant departments for resolution and closure.
- Perform data distribution, data verification, and data submission activities for branches and APs.
- Maintain records of compliance observations, deficiencies, resolutions, and supporting documents.




- Prepare and maintain MIS/reports related to compliance and operational activities.
- Route and maintain monthly order-evidence data and service-call completion data.
- Ensure all assigned activities are completed within defined timelines.
- Identify recurring issues and support the development of process improvements.
- Ensure all activities are performed in accordance with company policies, compliance procedures, and client instructions .
- Maintain a proper audit trail and documentation for future reference.

Required Skills
- Strong understanding of stock broking and financial services operations .
- Knowledge of branch and AP operations .
- Understanding of compliance monitoring and trade verification.
- Strong analytical and problem-solving skills.
- Good knowledge of MS Excel , including data handling and reporting.
- Good written and verbal communication skills.
- Strong follow-up and escalation management skills.
- Ability to manage multiple tasks within deadlines.
- Good documentation and record-keeping skills.
- Ability to coordinate effectively with branches, APs, and internal departments.

Preferred Experience
- Experience in Stock Broking / Capital Markets / NBFC / Financial Services .
- Experience in compliance monitoring, branch operations, AP management, or broking operations.
- Experience handling trade-related data and compliance observations.
- Experience working with MIS and operational reports.

Connect me on [email protected]

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