Risk and Operations Manager

15 hours ago


Surat, Gujarat, India Supernal Ventures Pvt. Ltd. Full time

At Supernal Ventures Pvt. Ltd., we are seeking a seasoned Risk and Operations Manager to join our team in Surat, Gujarat. As a key member of our organization, you will play a vital role in ensuring compliance with regulatory requirements and overseeing back-office operations.

Estimated Salary: ₹12 Lakhs - ₹18 Lakhs per annum

About the Role:

The successful candidate will be responsible for ensuring compliance with SEBI, stock exchanges, and depositories' regulations. This includes maintaining and updating KYC records for all clients as per regulatory guidelines, monitoring suspicious activities, and generating reports for Anti-Money Laundering (AML) compliance. Additionally, the individual will file periodic regulatory reports, coordinate and respond to internal and external audits, inspections, and regulatory inquiries, and implement updates based on SEBI circulars and exchange notifications.

Back-Office Operations:

  • Manage the end-to-end client onboarding process, including KYC verification and account setup.
  • Process and record client pay-ins and pay-outs for trades.
  • Ensure timely completion of T+1/T+2 settlement obligations.
  • Reconcile daily trades with stock exchanges and ensure trade settlements are accurate.
  • Generate and distribute contract notes, trade confirmations, and margin reports to clients.
  • Process payouts and pay-ins of funds and securities within prescribed timelines.
  • Handle client queries related to trade execution, account balances, and discrepancies.
  • Maintain accurate records of all client transactions, corporate actions, and account activities.

Requirements:

  • Bachelor's degree in finance, business administration, or a related field.
  • 1-3 years of experience in compliance or back-office operations in the financial sector.
  • Strong knowledge of SEBI guidelines, AML compliance, and exchange regulations.
  • Proficiency in MS Excel and other back-office tools; familiarity with trading software is a plus.
  • Strong communication, organizational, and problem-solving skills.
  • Ability to manage multiple tasks and prioritize effectively.


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