Job Description: Compliance & Operations Manager Stock Broking

Key Responsibilities

- Handling compliance with SEBI regulations, NSE rules, clearing corporation requirements, and NSDL guidelines.
- Monitor regulatory updates and ensure timely filing of regulatory returns, reports, and disclosures.
- Oversee client onboarding, KYC documentation, AML/PMLA compliance, and demat account operations.
- Monitor broking and DP operations, funds and securities settlement, margin reporting, and reconciliations.
- Handle investor grievances, regulatory queries, and compliance-related matters.
- Coordinate internal, statutory, and regulatory audits; ensure timely closure of audit observations.
- Maintain compliance records, SOPs, reports, and documentation.
- Coordinate with exchanges, depositories, auditors, and internal departments.

Required Skills & Competencies

- Strong knowledge of SEBI, NSE, NSDL, and stock broking compliance requirements is mandatory.
- Practical understanding of broking operations, DP operations, KYC/AML,



regulatory reporting, and audit processes.
- Excellent drafting, written communication, and verbal communication skills.
- Good analytical, coordination, documentation, and problem-solving skills.
- Proficiency in MS Excel and MIS reporting.

Mandatory Certification

- NISM Series III-A Securities Intermediaries Compliance (Non-Fund) is preferred.
- Candidates who do not hold the certification must be willing to transparent the NISM Series III-A examination after joining, within the timeline prescribed by the company and applicable regulatory requirements.

Key Performance Expectations

- Timely regulatory filings and compliance deliverables.
- Accurate reporting and effective compliance monitoring.
- Timely closure of audit observations and regulatory issues.
- Strong documentation, communication, and adherence to internal procedures.

📌 Walk-in || Compliance and DP Operations Executive- Stock Brokers (Noida)
🏢 Frontline Stock Brokers
📍 Noida