Job Description

Job Title Operations & Compliance Executive - Stock Broking

Location:

Sector-63 , Noida, U

P

Employment Type:

Full-time

Experience Required:

2-6

years in stock broking operations/compliance

Industry:

Stock Broking / Capital Markets

Salary :

Negotiable

About the Role

We are looking for a detail-oriented and proactive Operations & Compliance Executive to join our Stock Broking team.

The ideal candidate will manage day-to-day back-office operations, ensure regulatory compliance, liaise with exchanges and depositories, and support seamless trading operations for clients.

Key Responsibilities

Operations

Handle daily trade processing, trade uploads, and reconciliation across NSE/BSE.

Manage client onboarding, KYC verification, and account activation as per regulatory guidelines.

Oversee pay-in/pay-out, fund transfers, DP operations, POA/TPIN processes.

Coordinate with exchanges, depositories (NSDL/CDSL), and custodians for smooth settlement.

Daily reconciliation of funds, securities, and ledger balances.

Maintain back-office systems and ensure accurate reporting of client transactions.

Address client operational queries related to accounts, trades, and settlements.

Compliance

Ensure compliance with SEBI, Exchange, and Depository regulations.

Prepare and file periodic regulatory reporting (e.g., UCC updates, margin reporting, RTRMS).

Monitor risk limits, trading activities, and ensure adherence to internal policies.

Maintain records and documentation for audits and inspections.

Assist in implementation of new regulatory guidelines and circulars.

Conduct internal checks, risk assessments, and compliance audits.

Required Skills & Qualifications

Graduate/Postgraduate in Finance, Commerce, or related field.

2-6 years of relevant experience in stock broking operations/compliance.

Strong understanding of stock market operations, KYC norms, and regulatory frameworks.

Hands-on experience with back-office software (e.g., NSE NOW, NEST, ODIN, or other BO systems).

Good knowledge of CDSL/NSDL processes.

Excellent communication, analytical ability, and attention to detail.

NISM Series VII / Series VIII certification would be an added advantage.

What We Offer

Competitive salary package

Opportunity to grow within a fast-paced financial services environment

Exposure to regulatory and operational functions across the broking ecosystem

Supportive work culture with continuous learning opportunities

How to Apply

Interested candidates can send their resume on -

mutualfund7seacapitalltd@gmail.com

to with the subject line:

"Application for Operations & Compliance Executive - Stock Broking"

Contact number -Sonali

8527576858

Job Types: Full-time, Permanent

Pay: ?18,000.00 - ?25,000.00 per month

Work Location: In person