Financial Operations Compliance Professional

3 weeks ago

Industrial Area, India PlusWealth Capital Management LLP Full time

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

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