Job Overview

Position: Back Office Executive

Employment Type: Full time (Permanent)

Work Mode: On-site (100% Office-Based)

Location: Kandivali (West), Mumbai

Experience Required: 1 – 3 years in stock broking / capital markets back-office operations

Department: Operations & Compliance Support

Key Responsibilities & Duties

- Client Onboarding & KYC Management

Process and verify new client account opening forms (Online KRA / e-KYC and physical documents).

Conduct CKYC, KRA uploading, and IPV (In-Person Verification) checks in accordance with SEBI and Exchange (NSE/BSE) guidelines.

Ensure accurate updating of client master details (bank accounts, Demat accounts, PAN, email, mobile numbers).

- Trade Operations & Settlement

Assist with daily trade processing, contract note generation, and dispatch to clients.

Monitor daily trade files, BOD/EOD allocations, and margin reporting.

Handle client margin pledge/unpledge processes through the depository system as per SEBI regulations.

Co-coordinate pay-in and pay-out of funds and securities via bank and exchange clearing houses (NCL).

- Accounting & Client Ledger Maintenance

Maintain client ledgers, process pay-in/pay-out requests, and perform daily bank reconciliations.

Handle query resolution regarding client balances, brokerage calculations, and ledger statements.





Assist with daily and monthly reporting, including Consolidated Account Statements (CAS).

- Exchange Compliance & Reporting Support

Coordinate with the Compliance Officer for daily, weekly, and periodic reporting to NSE, BSE, and SEBI.

Prepare data and documentation required for internal, internal audit, statutory, and exchange audits.

Manage client grievance logging and resolution as per SEBI timelines.

Candidate Requirements & Skills

Education: Graduate in Commerce (B.Com / BBA), Finance, or a related field.

Experience: 1 to 3 years of hands-on experience in the back office of a SEBI-registered stock broker.

Technical Skills

Proficiency in back-office broking software (e.g., TradeTron, TechExcel, Class, or similar broking ERPs).

Good working knowledge of MS Excel (VLOOKUP, Pivot Tables, basic formulas) and Word.

Familiarity with depository participant systems (NSDL / CDSL) and KRA portals (CVL, NDML, NSE KRA, DotEx).

Domain Knowledge: Understanding of equity and derivatives settlement cycles, SEBI compliance rules, and margin pledge guidelines.

Soft Skills: Strong attention to detail, accuracy in data handling, good written and verbal communication in English and Hindi, and a team-player attitude.

📌 Back Office Employee (Mumbai)
🏢 AlphaMatrix Securities
📍 Mumbai