Head Trading, Compliance & Institutional Sales

As a Stock Broking Head for Trading, Compliance & Institutional Sales, your role will involve overseeing the stock broking vertical with a focus on trading operations, compliance, regulatory interactions, and business growth within the banking and financial services sector. Your responsibilities will include: - Trading & Operational Oversight - Supervising retail broking operations (Domestic & International) & institutional trading. - Handling products such as Equities, Options, Fixed Income, DVP/RVP, Prime Brokerage, and Mutual Funds. - Liaising with stock exchanges, depositories, and regulators on operational matters. - Sales & Business Development - Driving revenue growth through institutional and retail client acquisition. - Building and maintaining strong relationships with HNIs, FIIs, and institutional clients. - Leveraging banking sector insights to enhance cross-selling of investment products. - Working through associates & Partners. - Risk & Governance - Implementing surveillance systems, risk assessments, and control measures. - Analyzing compliance gaps and developing mitigation strategies. - Responding to audit queries and coordinating with regulators during inspections. - Compliance & Regulatory Management - Ensuring full compliance with SEBI, NSE, BSE, NCDEX and NSDL & CDSL regulations. - Conducting regular transaction reviews and implementing internal audits. - Overseeing Anti-Money Laundering (AML) programs and risk-based monitoring. - Acting as the Compliance Officer for Insider Trading policies and Employee Trading (PAD), including training and internal controls. - Managing regulatory filings and applications, including membership transfers across exchanges and depositories. - Team Leadership & Training - Training management and employees on compliance, trading standards, and market regulations. - Leading a high-performance team across sales, trading, and compliance verticals. Qualifications required for this role include: - More than 15 years of experience in managing broking/trading operations within banking or financial institutions. - Educational background in MBA/PGDM, CA/ICWA, LLB (preferably with specialization in securities, finance, or compliance). - Strong knowledge of securities markets and compliance frameworks. - Regulatory knowledge and liaison experience with SEBI, NSE, BSE, CDSL. - Excellent analytical, leadership, and stakeholder management skills. - Proficiency in handling institutional and retail trading models. Candidates must be based in Delhi or open to relocating to be eligible for this position.,