Compliance Executive / Officer – Back Office Operations

Department: Compliance / Back Office Operations

Industry: Stock Broking / Capital Markets

Location: [Location]

Experience: 2–6 Years

Employment Type: Full-Time

Job Summary

We are looking for a detail-oriented Compliance professional to support compliance monitoring and regulatory requirements across Back Office Operations of a stock broking firm. The role will involve ensuring adherence to SEBI, NSE, BSE, CDSL/NSDL and other applicable regulatory requirements, monitoring operational processes, identifying compliance gaps, and coordinating with internal teams for timely resolution.

Key Responsibilities

- Monitor day-to-day Back Office Operations to ensure compliance with applicable regulatory and internal policies.
- Ensure adherence to SEBI, NSE, BSE, CDSL, NSDL and other regulatory guidelines applicable to broking operations.
- Conduct periodic compliance checks and identify process gaps, exceptions and operational risks.
- Coordinate with Operations, Risk, Accounts, IT and other relevant teams for closure of compliance observations.
- Ensure timely preparation, review and submission of regulatory and compliance reports/returns.
- Assist in maintaining records and documentation required for internal audits, statutory audits, compliance reviews and regulatory inspections.
- Track regulatory circulars and updates issued by SEBI, exchanges and depositories and assess their impact on operational processes.
- Support implementation of new regulatory requirements and process changes.
- Monitor compliance with KYC, AML, client onboarding, UCC, demat and related regulatory requirements.




- Review exception reports and ensure timely resolution of discrepancies.
- Assist in responding to audit observations, exchange queries and regulatory requirements.
- Maintain proper compliance documentation, MIS and trackers for management review.
- Escalate material compliance breaches, operational irregularities and unresolved exceptions to the appropriate authority.
- Support development and improvement of SOPs, compliance checklists and control mechanisms.
- Perform any other compliance-related responsibilities assigned by management.

Key Skills & Competencies

- Solid knowledge of Stock Broking Back Office Operations and Capital Markets.
- Good understanding of SEBI, NSE, BSE, CDSL and NSDL regulations.
- Knowledge of trade life cycle, settlement process, margin, reconciliation and client account operations.
- Understanding of KYC/AML and regulatory compliance requirements.
- Strong analytical and problem-solving skills.
- Good knowledge of MS Excel and MIS reporting.
- Strong attention to detail and ability to identify discrepancies.
- Good communication and coordination skills.
- Ability to work within strict regulatory timelines.
- Strong documentation and audit-handling skills.

Educational Qualification

- Graduate/Postgraduate in Finance, Commerce, Business Administration or related discipline.
- Professional qualifications such as CS, CA, CMA, NISM certifications or relevant capital-market certifications will be an added advantage.

Preferred Experience

- 2–6 years of experience in Compliance, Back Office Operations, Stock Broking, Capital Markets, Depository or Financial Services.
- Candidates with hands-on experience in regulatory compliance and exchange/depository operations will be preferred.

📌 Compliance Executive Officer Back Office Operations (Jodhpur)
🏢 ANANDRATHI
📍 Jodhpur