2 Exchange Reporting Jobs

The Principal Officer will serve as the designated regulatory officer under IFSCA regulations for the broker-dealer license. Your role is crucial in ensuring that all business and operational activities comply with IFSCA & NSE IX guidelines. The ideal candidate should possess hands-on experience in retail broking, exchange reporting, and back-office operations, coupled with strategic leadership skills. You will be responsible for Exchange & Regulatory Reporting, acting as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. Your duties will include ensuring timely and accurate reporting to NSE IX and IFSCA, handling audit queries, and overseeing routine inspection responses from exchanges or regulators. In the realm of Broker Operations Management, you will be tasked with running and enhancing daily broking workflows, such as client onboarding, order management, trade execution, margin monitoring, reconciliations, and settlements. Collaboration with back-office vendors, tech platforms, and clearing members will be essential to ensure timely reconciliation and settlements. Your oversight will extend to Risk, BCP & Cybersecurity, where you will establish robust risk management frameworks, develop and test business continuity plans and cybersecurity policies. Additionally, you will be responsible for Grievance & Client Communication Oversight, ensuring timely redressal of client grievances and maintaining a transparent grievance handling process. As a Strategic Execution & Leadership expert, you will drive operational readiness for new product rollouts, represent the company in industry forums and regulatory interactions, and align broking operations with the business strategy by working cross-functionally with legal, compliance, technology, and product teams. Qualifications & Experience: Experience Requirements: - Minimum 3 years of experience in the financial services market. - Preferred hands-on experience in a SEBI or IFSCA-registered broking entity. - Deep understanding of end-to-end brokerage workflows. - Familiarity with stock exchange processes, clearing corporation coordination, and regulatory reporting obligations. Education Requirements: - Postgraduate degree or diploma in finance, commerce, law, economics, or related fields. - Recognized professional certifications such as CFA, FRM, CA, CS, CMA, or equivalent foreign designations. - OR undergraduate degree with 10+ years of financial services experience. Skills & Competencies: - Strong understanding of IFSCA broker-dealer regulations, SEBI regulations, and FEMA applicability. - Excellent documentation and reporting discipline. - Strong stakeholder management and communication skills. - Demonstrated integrity, operational maturity, and attention to detail. What We Offer: - Competitive salary aligned with industry standards. - Attractive ESOPs for long-term value creation. - A leadership role within a cutting-edge fintech at GIFT City. - Opportunities for professional growth in India's evolving capital markets ecosystem.,

The Principal Officer will serve as the designated regulatory officer under IFSCA regulations for the broker-dealer license. This role is critical to ensure that all business and operational activities are compliant with IFSCA & NSE IX guidelines. The ideal candidate brings hands-on experience in retail broking, exchange reporting, and back-office operations along with strategic leadership. You will have the following key responsibilities: Exchange & Regulatory Reporting: - Act as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - Ensure timely and accurate reporting to NSE IX and IFSCA as per all prescribed formats (e.g., trade logs, client activity, UCC validations, etc.). - Oversee handling of audit queries and routine inspection responses from exchanges or regulators. Broker Operations Management: - Run and improve daily broking workflows: client onboarding, order management, trade execution, margin monitoring, auto square-offs, reconciliations, and settlements. - Coordinate with back-office vendors, tech platforms, and clearing members to ensure timely reconciliation and settlements. - Maintain updated SOPs for customer onboarding, trade lifecycle, compliance reporting. Risk, BCP & Cybersecurity Oversight: - Ensure robust risk management frameworks around client exposures, capital adequacy, and liquidity buffers. - Oversee development and testing of business continuity plans (BCP) and cybersecurity policies, as mandated. Grievance & Client Communication Oversight: - Ensure timely redressal of client grievances, reporting of complaints, and root cause analysis. - Maintain a transparent and well-documented grievance handling process in accordance with IFSCA expectations. Strategic Execution & Leadership: - Drive operational readiness for new product rollouts. - Represent in industry forums, regulatory interactions, and product discussions. - Align broking operations with the company's business strategy, working cross-functionally with legal, compliance, technology, and product teams. Qualifications & Experience: Experience Requirements: - Minimum 3 years of experience in financial services market. - Preferred hands-on experience in a SEBI or IFSCA-registered broking entity, with clear exposure to operations, exchange compliance, and client servicing. - Deep understanding of end-to-end brokerage workflows including client onboarding, order execution, margin monitoring, settlements, and reconciliations. Education Requirements: - Postgraduate degree or diploma (min. 1-year duration) in finance, commerce, law, economics, capital markets, banking, accountancy, insurance, or actuarial science. - OR recognized professional certifications such as CFA / FRM / CA / CS / CMA or equivalent foreign designations. - OR undergraduate degree with 10+ years of financial services experience. Skills & Competencies: - Strong understanding of IFSCA broker-dealer regulations, SEBI regulations, and FEMA applicability. - Excellent documentation and reporting discipline (SOPs, audit logs, inspection notes). - Strong stakeholder management and communicationable to interact with regulators, auditors, and clients. - Demonstrated integrity, operational maturity, and attention to detail. What We Offer: - Competitive salary aligned with industry standards. - Attractive ESOPs for long-term value creation. - A leadership role within a cutting-edge fintech at GIFT City. - Opportunities for professional growth in India's evolving capital markets ecosystem.,