Retail RMS Officer

• Summary: The Retail RMS Officer is responsible for real-time risk monitoring and control of retail client positions across Equity Cash, F&O, MTF, and Commodity segments
• The role ensures margin compliance, exposure control, and timely risk mitigation in line with exchange, SEBI, and internal risk policies, while safeguarding the firm from market and credit risk

Job Responsibility :

• Margin & Exposure Monitoring Monitor real-time margin utilization of retail clients across all segments (Cash, NFO, MCX)
• Ensure SPAN + Exposure margin compliance as per exchange norms
• Track MTF margin usage, haircut applicability, and funded positions
• Identify clients nearing margin shortfall / peak margin breach
• Risk Mitigation & Square-off Activities Execute timely square-off positions in case of: Margin shortfall Sudden increase in SPAN / Exposure Volatility spikes Expiry-day risk or calendar spread revocation Coordinate with dealing / operations teams for smooth square-off execution
• Ensure square-offs are done in a client-interest-first and risk-appropriate manner
• Intraday & End-of-Day Risk Controls Monitor intraday exposure limits and leverage utilization
• Perform EOD risk checks and ensure all margin deficiencies are addressed
• Validate blocked margins for expiry contracts and post-expiry releases
• Exchange & Regulatory Compliance Ensure compliance with SEBI, NSE, BSE, MCX risk management circulars
• Monitor peak margin reporting requirements and prevent violations
• Maintain logs for: Margin calls Square-offs Risk exceptions Assist during exchange inspections and internal audits
• Client & Dealer Coordination Communicate margin calls and risk alerts to dealers / relationship managers
• Handle escalations related to forced square-offs, margin debits, or trading restrictions
• Provide clarity to clients/dealers on RMS actions and policy rationale
• System & Process Monitoring Monitor RMS alerts generated by front-end and back-office systems
• Report system gaps related to: Real-time margin calculation Segment-wise allocation Auto square-off functionality Coordinate with IT / Vendor teams for RMS-related system enhancements
• Reporting & Documentation Prepare and share daily risk reports including: High-risk clients Margin shortfall list Square-off summary Maintain proper documentation for audit and compliance purposes

Requirements

• Graduate / Post graduate with relevant skill set certification in the nature of retail trading or broking environment will be preferable 5+ years of similar work experience in retail RMS department
• Strong understanding of Equity, F&O, MTF, and Commodity market
• In-depth knowledge of SPAN, Exposure, Peak Margin norms Ability to work under high-pressure market conditions Good communication and coordination skills Strong analytical and decision-making ability