Supernal Ventures Pvt. Ltd. | Compliance and Back Office Executive | surat
2 weeks ago
Key Responsibilities:
Compliance:
Ensure compliance with SEBI, stock exchanges, and depositories' regulations.
Maintain and update KYC records for all clients as per regulatory guidelines.
Monitor suspicious activities and generate reports for Anti-Money Laundering (AML) compliance.
File periodic regulatory reports, including margin trading, financial updates, and KYC compliance reports.
Coordinate and respond to internal and external audits, inspections, and regulatory inquiries.
Implement updates based on SEBI circulars and exchange notifications.
Oversee grievance redressal mechanisms to resolve client complaints efficiently.
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.
Qualifications:
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.
For more information, contact us:
Vinay Limbalkar || +91 9510218967 ||
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