Designation: Senior Manager / Manager Modification & Compliance Operations

Company: Anand Rathi IT Pvt. Ltd.

Department: Operations – Modification & Compliance

Designation: Senior Manager / Manager – Modification & Compliance

Industry: Stock Broking / Capital Market / BFSI

Experience: 7–12 Years

Location: Jodhpur

Job Overview: We are looking for an experienced operations professional to lead our Modification & Compliance function. The role involves managing client modifications, ensuring adherence to regulatory requirements, reviewing operational risks, and handling compliance-driven operational processes.

The ideal candidate should have prior experience in broking, banking, or financial services, possess strong compliance understanding, and demonstrate leadership capabilities in managing teams and operational controls.

Key Responsibilities

1. Client Modification Operations

- Manage end-to-end client modification requests across business segments.
- Review and approve account-related modifications as per regulatory requirements.
- Ensure timely processing of client profile updates and related changes.
- Verify supporting documents and maintain operational accuracy.
- Monitor modification-related risks and exceptions.

2. Compliance Monitoring & Implementation

- Review and understand regulatory circulars, notifications, and updates.
- Assess operational impact of regulatory changes and implement corrective measures.
- Ensure compliance with SEBI, NSE, BSE, Depository, and internal guidelines.
- Coordinate with compliance teams for implementation of regulatory requirements.




- Maintain records and evidence required for audits and inspections.

3. Risk Assessment & Decision Making

- Evaluate cases requiring operational judgment and risk assessment.
- Review exception cases and determine appropriate action.
- Identify potential compliance or regulatory risks and recommend mitigation measures.
- Ensure proper controls are established to minimize operational errors.

4. Audit & Governance

- Support internal, external, and regulatory audits.
- Ensure timely closure of audit observations.
- Monitor compliance reporting and MIS.
- Maintain process documentation and control frameworks.

5. Team Handling & Leadership

- Lead and supervise the Modification & Compliance team.
- Provide guidance on regulatory interpretation and operational controls.
- Conduct regular knowledge-sharing and compliance awareness sessions.
- Drive productivity, quality, and process adherence within the team.
- Handle escalations and ensure timely resolution of critical issues.

Required Skills & Qualifications

- Graduate/Postgraduate in Commerce, Finance, Banking, Law, or related field.
- 7–12 years of experience in stock broking, banking, lending, or financial services operations.
- Robust understanding of compliance and regulatory frameworks.
- Experience in client modifications, operational controls, and risk management.
- Ability to read, interpret, and implement regulatory notifications and circulars.
- Prior team management experience is mandatory.
- Strong decision-making and analytical skills.
- Excellent communication and stakeholder management abilities.
- Proficiency in operational reporting and process governance.

📌 Senior Manager or Manager Modification and Compliance Operations (Jodhpur)
🏢 Anand Rathi IT, Jodhpur
📍 Jodhpur