Job Title: Sr. Executive –RMS Department: Risk & Compliance Location: Mumbai Reporting To: Head – Risk / Compliance Experience Required: 3 – 5 Years in Capital Market Risk Function CTC -Upto 6 LPA
Role Objective To ensure real-time monitoring and management of market risk, credit risk, operational risk and regulatory risk for the stock broking operations in line with SEBI, NSE, BSE & Clearing Corporation norms.
Key Responsibilities Trading Risk Oversight
Monitor client positions, margins, MTM losses, limits, exposures & risk parameters across segments (Cash, F&O, Currency, Commodity).
Manage real-time exposure control using RMS systems.
Configure and periodically update RMS rules (SPAN + Exposure + VAR + Additional Margins). Client Risk Assessment
Assess client credit profiles and define trading limits.
Approve or decline requests for limit enhancements based on documentation & funding patterns.
Ensure compliance with client-level regulatory risk requirements. Market & Product Risk Monitoring
Track volatility, corporate actions, F&O expiries, concentration risk, and illiquid position risks.
Liaison with Dealers, Branches & Relationship Managers during market fluctuations. Regulatory & Compliance Management
Ensure adherence to SEBI, Stock Exchange, and Clearing Corporation Risk norms.
Review alerts from internal surveillance systems.
Prepare reports for Internal Auditors, Exchange Inspections and Statutory Audits. Operational Controls
Coordinate with Tech Team for RMS parameter configuration.
Ensure correctness of margin files, limit files and pay-in/pay-out instructions.
Monitor DP stock shortages and pledge/unpledge process under TM/CM POA and MTF framework. Reporting & Escalation
Maintain MIS on exposures, margin shortfalls & client risk breaches.
Escalate high-risk situations to Senior Management promptly.
Key Skills Required
Strong knowledge of Equity & Derivatives markets
Expertise in Span/Exposure/Margin systems
Experience working on CTCL/Trading risk systems (e.g., NEAT, ODIN, BOW, etc.)
Data analysis skills (Excel, Pivot, MIS reporting)
Ability to work in high-pressure, fast-moving market environment
Role Objective To ensure real-time monitoring and management of market risk, credit risk, operational risk and regulatory risk for the stock broking operations in line with SEBI, NSE, BSE & Clearing Corporation norms.
Key Responsibilities Trading Risk Oversight
Monitor client positions, margins, MTM losses, limits, exposures & risk parameters across segments (Cash, F&O, Currency, Commodity).
Manage real-time exposure control using RMS systems.
Configure and periodically update RMS rules (SPAN + Exposure + VAR + Additional Margins). Client Risk Assessment
Assess client credit profiles and define trading limits.
Approve or decline requests for limit enhancements based on documentation & funding patterns.
Ensure compliance with client-level regulatory risk requirements. Market & Product Risk Monitoring
Track volatility, corporate actions, F&O expiries, concentration risk, and illiquid position risks.
Liaison with Dealers, Branches & Relationship Managers during market fluctuations. Regulatory & Compliance Management
Ensure adherence to SEBI, Stock Exchange, and Clearing Corporation Risk norms.
Review alerts from internal surveillance systems.
Prepare reports for Internal Auditors, Exchange Inspections and Statutory Audits. Operational Controls
Coordinate with Tech Team for RMS parameter configuration.
Ensure correctness of margin files, limit files and pay-in/pay-out instructions.
Monitor DP stock shortages and pledge/unpledge process under TM/CM POA and MTF framework. Reporting & Escalation
Maintain MIS on exposures, margin shortfalls & client risk breaches.
Escalate high-risk situations to Senior Management promptly.
Key Skills Required
Strong knowledge of Equity & Derivatives markets
Expertise in Span/Exposure/Margin systems
Experience working on CTCL/Trading risk systems (e.g., NEAT, ODIN, BOW, etc.)
Data analysis skills (Excel, Pivot, MIS reporting)
Ability to work in high-pressure, fast-moving market environment