Head of Broker Operations – DP & KYC / Back Office Head

Growth Avenues

core team

CAs, Engineers, MBAs, and PhDs

The Head of Broker Operations – DP & KYC / Back Office Head will oversee day-to-day operations, ensure 100% regulatory compliance, manage DP activities, lead the KYC, DP, Back office team, and streamline processes to improve efficiency and accuracy.

• Supervise KYC verification and onboarding process.

• Oversee end-to-end DP activities including account opening, dematerialization, dematerialization, pledging, and off-market transfers.

• Ensure accurate and timely settlements, pay-in/pay-out, and reconciliation.

• Manage compliance with CDSL regulations.

• Maintain coordination with exchanges (NSE, BSE, MCX) and clearing corporations.

• Ensure compliance with SEBI, PMLA (Prevention of Money Laundering Act), CKYC, and exchange rules.

• Lead back office operations including ledger maintenance, payout processing, and margin reporting.

• Handle audits (internal, statutory, exchange & DP audits).

• Implement SOPs and drive automation for operational efficiency.

• Lead and mentor the operations and KYC/DP/Back office team.

• Prepare monthly MIS, compliance reports, and operational dashboards.

• Minimum 5+ years experience in Stock Broking/DP Industry.

• Strong expertise in CDSL/NSDL systems, DP operations, KYC norms, and exchange compliance.

• Knowledge of brokerage software such as KYC/DP/Back office team/Trading/Mutual Fund Software

• Excellent analytical, leadership, and communication skills.

• Graduate/Postgraduate in Finance, Commerce, or related field.

• NISM/NCFM certifications in Depository Operations or Compliance.

hr@growthavenues.co.in

Or apply directly via LinkedIn.