Back Office & Compliance

PlusWealth Capital Management LLP is a proprietary high-frequency trading firm, active in multiple markets including equities, options, and futures. We thrive on building cutting edge, data-driven, and tech-based trading algorithms. As a dynamic, machine-learning oriented trading platform, we embody the ethos of THINK. TECH. TRADE. If you share our vision, we'd love to have you onboard.

Role Overview

We are looking for a detail-oriented professional with strong knowledge of capital market operations, UCC (Unique Client Code), DP Operation & Compliance, and NSE account reconciliations. The role involves ensuring timely reconciliations, adherence to SEBI/NSE/CDSL regulations, and smooth compliance processes within a stock-broking environment.

Responsibilities

• Perform daily/weekly/monthly trade processing and reconciliations of NSE bank accounts, client accounts, and settlement accounts.
• Monitor and reconcile fund transfers, margin obligations, and pay-in/pay-out settlements.
• Manage Unique Client Code (UCC) generation, updates, and reporting as per exchange/SEBI guidelines.
• Ensure compliance with Depository Participant (DP) regulations, including client onboarding, KYC, pledge/re-pledge, and demat transactions.
• Coordinate with clearing members, custodians, banks, and exchanges for reconciliation and compliance queries.
• Maintain accurate and up-to-date compliance records and ensure timely filing of regulatory returns.
• Support in audit, inspection, and regulatory reporting for NSE, SEBI, and Depositories.
• Collaborate with operations, risk, and IT teams for automation and system updation related to compliance and reconciliation.

Qualifications

• Graduate/Postgraduate in Commerce, Finance, or related field.
• 5+ years of experience in a stock broking firm / DP operations / compliance.
• Strong knowledge of NSE account reconciliation, UCC processes, DP operations, and SEBI compliance.
• Hands-on experience in back-office (Shilpi software) / DP software.
• Good communication skills to coordinate with internal teams and regulators.

Benefits & Perks:

• Competitive compensation and performance-based bonuses.
• Flat organizational structure with high ownership and visibility.
• Medical insurance – we've got you covered.
• Catered meals/snacks for 5 working days in office.
• Generous paid time off policies.

Pluswealth Capital Management is an equal opportunity employer

Skills Required
DP operations, DP software, NSE account reconciliation, SEBI compliance, Shilpi software, UCC processes