Job Summary

The Manager - Operations & Compliance is responsible for managing end-to-end broking operations, ensuring regulatory compliance, overseeing reconciliations, coordinating audits, preparing MIS reports, and strengthening internal controls to ensure effective and compliant business operations.

Key Responsibilities
- Manage end-to-end broking back-office operations, settlements, payouts, and reconciliations.
- Ensure compliance with SEBI, NSE, BSE, CDSL/NSDL, PMLA, KYC, and AML regulations.
- Coordinate internal, statutory, exchange, and regulatory audits and ensure timely closure of observations.
- Prepare and review MIS reports, operational dashboards, and management reports.
- Monitor client ledgers, fund movements, documentation, and operational risk controls.
- Develop, implement, and improve Standard Operating Procedures (SOPs) and internal process controls.
- Coordinate with Accounts, Compliance, RMS, Depository, and Operations teams for smooth execution.
- Ensure timely submission of regulatory reports and statutory filings.




- Identify operational risks and implement corrective and preventive actions.
- Drive process automation and continuous operational improvements.

Key Skills Required
- Financial Broking Operations
- Regulatory Compliance
- Audit & Inspection Coordination
- Reconciliation & Settlement
- MIS & Reporting
- Risk & Internal Controls
- Process Improvement
- Analytical & Problem-Solving Skills
- Stakeholder Management
- Team Leadership

Experience
- Minimum 8 years of experience in financial operations and compliance.

Key Performance Indicators (KPIs)
- Regulatory compliance and audit adherence.
- Accuracy and timeliness of settlements and reconciliations.
- Timely submission of regulatory filings and reports.
- Operational efficiency and process improvement.
- Accuracy of MIS and management reporting.
- Reduction in operational risks and compliance issues.
- Successful implementation of SOPs and internal controls.

Educational Qual

📌 Manager- Operation (Ghatkopar)
🏢 Beyond Red Ocean Consulting
📍 Ghatkopar