Compliance and Back Office Executive

2 weeks ago


Surat, India Supernal Ventures Pvt. Ltd. Full time

Location: Surat, Gujarat (Local candidates preferred)

Salary: Based on interview performance and experience

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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