Senior Manager

2 days ago

Gurgaon, Haryana, India UNIVEST STOCK BROKING PRIVATE LIMITED Full time
Job Title: Senior Manager – Back Operations Compliance
Location: Gurugram
Experience: 8–12 years
Industry: Broking / Fintech / Financial Services
Role Overview

The Associate Director – Back Operations Compliance will be responsible for leading and strengthening the organization's back-office operations, regulatory compliance, and process governance. This role requires deep expertise in the broking ecosystem, regulatory frameworks (SEBI, exchanges, depositories), and operational excellence to ensure seamless, compliant, and scalable operations.

Key Responsibilities
Back Operations
  • Lead and manage end-to-end back-office operations including onboarding, KYC, account opening, settlements, reconciliations, margins, corporate actions, and reporting.
  • Ensure smooth coordination with exchanges (NSE/BSE), depositories (NSDL/CDSL), clearing corporations, banks, and third-party vendors.
  • Design, optimize, and automate operational workflows to improve efficiency and reduce turnaround time.
  • Oversee daily operational controls to minimize errors, risks, and operational losses.
  • Develop and maintain SOPs, process documentation, and internal control mechanisms.
Compliance Regulatory
  • Ensure complete compliance with SEBI, exchange, depository, and regulatory requirements.
  • Handle regulatory filings, inspections, audits, and responses to observations from regulators and auditors.
  • Monitor regulatory circulars and ensure timely implementation across systems and processes.
  • Act as a key liaison with compliance officers, auditors, and regulatory bodies.
  • Strengthen risk management and ensure adherence to internal compliance policies.
Leadership Stakeholder Management
  • Lead, mentor, and scale the back operations and compliance team.
  • Collaborate closely with Product, Tech, Finance, Legal, and Business teams to align operations with business objectives.
  • Provide strategic inputs for new product launches, process changes, and regulatory impact assessments.
  • Drive a culture of accountability, compliance, and operational excellence.
Key Skills Competencies
  • Strong understanding of broking operations, settlements, and regulatory compliance.
  • Hands-on experience with SEBI regulations, exchange by-laws, and depository operations.
  • Excellent problem-solving, analytical, and risk-assessment skills.
  • Ability to manage large teams and cross-functional stakeholders.
  • Strong communication and documentation skills.
  • Experience in process automation and operational scalability is a plus.
Qualifications
  • Bachelor's or Master's degree in Finance, Commerce, Business Administration, or a related field.
  • Relevant certifications (NISM, CA, CS, or equivalent) preferred.
Why Join Us
  • Opportunity to play a strategic leadership role in a fast-growing fintech/broking organization.
  • High ownership and impact-driven role.
  • Collaborative work culture with strong growth opportunities.

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