Capital Markets Compliance Manager

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

Candidate Requirements

familiarity with automation projects a plus