Compliance Associate

6 days ago

Sayajiganj Vadodara Gujarat, India A C Agarwal Share Brokers Pvt. Ltd. Full time

The Compliance Associate will be responsible for managing and optimizing fund allocation processes and reporting in a dynamic financial environment. This role requires a detail-oriented individual who can effectively communicate and collaborate with cross-functional teams while ensuring accurate fund management and compliance.

**Key Responsibilities**:

- **Fund Allocation Process**:

- Manage and execute the fund allocation process at the beginning of day (BOD) and end of day (EOD).
- **Short Allocation Reporting**:

- Prepare and analyze short allocation reports, including SA04 and Intrasar Eodsar, ensuring accuracy and timeliness.
- **Segregation Reporting**:

- Oversee segregation reporting to ensure compliance with regulatory standards and internal policies.
- **FO Margin Shortage Checks**:

- Conduct margin shortage checks for Front Office (FO) both at the BOD and EOD to mitigate risk for clients.
- **Communication Management**:

- Liaise with Globe Share and other stakeholders for effective fund communication and coordination.
- **Fund Movement**:

- Facilitate the movement of funds from Allocation FO to MCX, ensuring seamless transitions and mínimal disruption.
- **Deallocation Process**:

- Manage the fund pay-out deallocation process, ensuring proper documentation and compliance.
- **MTF JV & Shortage Checks**:

- Perform checks related to Margin Trading Facility (MTF) Joint Ventures and shortage management.
- **EOD Margin Reporting Checks**:

- Validate end-of-day margin reporting to ensure accuracy and compliance with internal policies.

**Qualifications**:
Bachelor's degree in Finance, Accounting, or related field.
- Strong analytical skills and attention to detail.
- Proficient in financial software and reporting tools.
- Excellent communication and interpersonal skills.
- Proficient in Microsoft Office Suite (Excel, Word, PowerPoint)
- Ability to work under pressure and meet deadlines.
- **Prior** **experience of Stock Market or Broking Industry is mandatory**

This role is essential in ensuring effective fund management, compliance, and operational efficiency within the organization.

Pay: ₹216,000.00 - ₹600,000.00 per year

**Benefits**:

- Paid time off
- Provident Fund

Schedule:

- Day shift

Supplemental Pay:

- Yearly bonus

Work Location: In person

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