Broking Operations & Compliance

Company Name - Anand Rathi Global Intermediaries Limited (Broking)

Company Overview

We are a SEBI-registered Trading Member and Self-Clearing Member with a focus on institutional broking, proprietary trading, and promoter group trading activities.

Role Overview

This leadership position is responsible for overseeing and streamlining the full spectrum of broking operationsprop desk, promoter group trades, clearing/settlement, and regulatory compliance. The Manager will be the primary operational and compliance leader, reporting to the business head / senior management and directly coordinating with trading desks, group entities, and regulatory bodies

Key Responsibilities

• Lead and manage day-to-day operational activities for institutional and proprietary trading, including trade capture, affirmation, allocation, clearing, and settlement
• Supervise account opening and KYC for group/promoter entities and manage operational support for prop desk
• Oversee generation and validation of daily P&L, position and trade reconciliations for all in-house group and prop accounts
• Ensure timely submissions of all SEBI, Exchange, and other regulatory/statutory reporting related to proprietary and group trading activities
• Design and monitor risk controls, margin management, surveillance, and trade reporting for high-value, complex trades
• Lead process audits, manage regulatory and exchange inspections, and respond to compliance queries
• Optimize operational workflows between trading, clearing, back-office, and compliance functionsdrive automation and process improvement
• Advise trading desks on regulatory limits, market abuse controls, and operational best practices; ensure all activities are within SEBI/guideline frameworks
• Coordinate with internal tech/support teams for system enhancements and automation, as needed for institutional broking
• Lead, train, and mentor the operations team

Candidate Requirements

• Postgraduate with 36 years in institutional/capital markets broking operations, including proprietary trading or group trades
• Strong technical understanding of trade lifecycleincluding trade booking, settlement, reconciliations, and risk management for institutional/proprietary desks
• Proven track record in managing SEBI, NSE/BSE, and Depository reporting, compliance, and audits
• Experience managing teams, process upgrades, and operational risk reviews
• Strong analytical, stakeholder coordination, and decision-making skills
• Proficiency in back-office systems, regulatory reporting, and Excel; familiarity with automation projects a plus
• NISM Series VII: Securities Operations and Risk Management Certification Examination or CA/CS/MBA (Finance) is advantageous