Job Description
Job Description
Roles and Responsibilities:
Financial Strategy Capital Management
Drive long-term financial strategy aligned with the business model of a retail brokerage
Lead capital planning, allocation, and scenario modeling for product expansion and risk mitigation.
Provide financial insights to support new offerings like derivatives, margin funding, and proprietary trading.
Ensure sustained financial health with an emphasis on transaction volumes and regulatory capital requirements
Regulatory Compliance Governance
Ensure full compliance and other regulatory frameworks
Serve as the senior liaison with regulators, exchanges, depositories, statutory auditors, and inspection teams
Interpret and implement regulatory circulars and broker guidelines to mitigate compliance risks
Oversee company-wide adherence to governance standards and regulatory protocols
Brokerage Finance Reporting
Supervise core financial operations including client fund segregation, margin requirement tracking, and capital adequacy reporting.
Oversee timely and accurate submissions and other broker-specific financial statements
Maintain accurate computation and reporting of net worth and liquidity as per exchange norms
Drive accuracy in revenue recognition, brokerage accounting, and fund flow reporting
Risk Management Controls
Design and monitor internal controls to safeguard client funds, proprietary assets, and cash flows
Lead readiness for internal and exchange audits through strong documentation and compliance practices
Implement tools for real-time monitoring of regulatory and exposure limits
Evaluate and manage financial risks related to market volatility and operational dependencies
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