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
🏢 Satellite Plastic Industries
📍 Ghatkopar