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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