ULJK Financial Services - Compliance & Back Office Manager - Institutional Desk

Position: Compliance & Back Office Manager - Institutional Desk

Industry: Institutional Broking / Capital Markets

Location: Mumbai

Experience: 5-8 Years

CTC: open

Job Purpose:

- To manage end-to-end compliance and back-office operations for the Institutional Broking Desk, ensuring adherence to SEBI and exchange regulations, accurate settlements, and strong operational controls

Key Responsibilities:

Compliance:

- Ensure compliance with SEBI, NSE/BSE regulations applicable to institutional trading

- Handle regulatory filings, returns, audits, and inspections

- Track and implement exchange/SEBI circulars

- Maintain compliance MIS and documentation

Back Office Operations:

- Manage trade processing, settlement, confirmations & billing

- Oversee funds reconciliation, margins & pay-in/pay-out

- Coordinate with Institutional Sales, Dealers, Risk & Finance teams

- Handle operational escalations and ensure SOP adherence

Candidate Profile:

- 5-8 years of experience in Institutional Broking Operations / Compliance

- Strong understanding of institutional trade workflows

- Experience facing exchange or SEBI audits

- NISM certifications preferred

Male and Female candidates can apply with the age between 30-45 years, female preferable married candidate.