Broking Operations & Compliance

Company Name - Anand Rathi Global Intermediaries Limited (Stock Broker)

Company Overview

We are a SEBI-registered Trading Member and Self-Clearing Member with a focus on institutional broking, proprietary trading, and promoter group trading activities.

Role Overview

This leadership position is responsible for overseeing and streamlining the full spectrum of broking operations—prop desk, promoter group trades, clearing / settlement, and regulatory compliance. The Manager will be the primary operational and compliance leader, reporting to the business head / senior management and directly coordinating with trading desks, group entities, and regulatory bodies

Key Responsibilities

Lead and manage day-to-day operational activities for institutional and proprietary trading, including trade capture, affirmation, allocation, clearing, and settlement

Supervise account opening and KYC for group / promoter entities and manage operational support for prop desk

Oversee generation and validation of daily P&L, position and trade reconciliations for all in-house group and prop accounts

Ensure timely submissions of all SEBI, Exchange, and other regulatory / statutory reporting related to proprietary and group trading activities

Design and monitor risk controls, margin management, surveillance, and trade reporting for high-value, complex trades

Lead process audits, manage regulatory and exchange inspections, and respond to compliance queries

Optimize operational workflows between trading, clearing, back-office, and compliance functions—drive automation and process improvement

Advise trading desks on regulatory limits, market abuse controls, and operational best practices; ensure all activities are within SEBI / guideline frameworks

Coordinate with internal tech / support teams for system enhancements and automation, as needed for institutional broking

Lead, train, and mentor the operations team

Candidate Requirements

Postgraduate with 7–12 years in institutional / capital markets broking operations, including proprietary trading or group trades

Strong technical understanding of trade lifecycle—including trade booking, settlement, reconciliations, and risk management for institutional / proprietary desks

Proven track record in managing SEBI, NSE / BSE, and Depository reporting, compliance, and audits

Experience managing teams, process upgrades, and operational risk reviews

Strong analytical, stakeholder coordination, and decision-making skills

Proficiency in back-office systems, regulatory reporting, and Excel; familiarity with automation projects a plus

NISM Series VII : Securities Operations and Risk Management Certification Examination or CA / CS / MBA (Finance) is advantageous