ob Title: Back Office Operations Compliance
Department: Operations / Compliance
Location: Gurgaon - On site
Reporting To: CEO - Stock Broking
Job Summary
We are looking for a detail-oriented and process-driven professional to manage
Back Office Operations and Regulatory Compliance. The role ensures smooth day-to-day operational workflows, strict adherence to regulatory requirements, and coordination with internal teams and external stakeholders to maintain operational efficiency and compliance integrity.
Key Responsibilities
Back Office Operations
- Manage end-to-end back-office processes including account opening, KYC verification, data management, reconciliations, and reporting
- Ensure accurate and timely processing of transactions, records, and client documentation
- Monitor daily operational activities to ensure adherence to internal SOPs and SLAs
- Coordinate with front office, tech, finance, and customer support teams for issue resolution
- Oversee vendor and third-party service coordination (brokers, depositories, banks, NBFCs, etc.)
- Maintain and improve operational workflows to enhance efficiency and reduce errors
Compliance Regulatory
- Ensure compliance with SEBI / RBI / Exchange / Depository regulations (as applicable)
- Monitor regulatory circulars, updates, and guidelines; assess impact and ensure implementation
- Handle regulatory filings, audits, inspections, and compliance reporting
- Support internal and external audits; ensure timely closure of observations
- Maintain compliance documentation, registers, and regulatory records
- Act as a point of contact for compliance-related queries from internal teams
Risk Controls
- Identify operational and compliance risks and recommend corrective actions
- Ensure implementation of internal controls and compliance checks
- Escalate non-compliance issues with corrective and preventive action plans (CAPA)
Team Stakeholder Management
- Guide and support junior team members on operational and compliance processes
- Coordinate with legal, finance, tech, and senior leadership for compliance alignment
- Assist in training employees on compliance policies and operational best practices
Qualifications Experience
- Bachelor's degree in Commerce, Finance, Business Administration, Law, or related field
- 38+ years of experience in Back Office Operations, Compliance, or Operations Management
- Experience in Broking, FinTech, NBFC, BFSI, or Capital Markets preferred
- Strong knowledge of regulatory frameworks and operational processes
- Certifications such as NISM / Compliance-related certifications are a plus
Key Skills Competencies
- Strong understanding of compliance and regulatory requirements
- High attention to detail and accuracy
- Process-oriented and analytical mindset
- Excellent coordination and stakeholder management skills
- Ability to handle audits, pressure situations, and deadlines
- Proficient in MS Excel, reporting tools, and operational systems
What We Offer
- Opportunity to work in a fast-growing and regulated environment
- High ownership and exposure to leadership
- Career growth in operations and compliance leadership
- Collaborative and performance-driven culture
