Manager Stock Broking Operations & Compliance

• Lead and manage day-to-day operational activities for institutional and proprietary trading, including trade capture, affirmation, allocation, clearing, and settlement
  
• Supervise account opening and KYC for group/promoter entities and manage operational support for prop desk
  
• Oversee generation and validation of daily P&L, position and trade reconciliations for all in-house group and prop accounts
  
• Ensure timely submissions of all SEBI, Exchange, and other regulatory/statutory reporting related to proprietary and group trading activities
  
• Design and monitor risk controls, margin management, surveillance, and trade reporting for high-value, complex trades
  
• Lead process audits, manage regulatory and exchange inspections, and respond to compliance queries
  
• Optimize operational workflows between trading, clearing, back-office, and compliance functions drive automation and process improvement
  
• Advise trading desks on regulatory limits, market abuse controls, and operational best practices; ensure all activities are within SEBI/guideline frameworks
  
• Coordinate with internal tech/support teams for system enhancements and automation, as needed for institutional broking
  
• Lead, train, and mentor the operations team
  

Candidate Requirements

• Postgraduate with 712 years in institutional/capital markets broking operations, including proprietary trading or group trades.
• Strong technical understanding of trade lifecycle including trade booking, settlement, reconciliations, and risk management for institutional/proprietary desks
  
• Proven track record in managing SEBI, NSE/BSE, and Depository reporting, compliance, and audits
  
• Experience managing teams, process upgrades, and operational risk reviews
  
• Strong analytical, stakeholder coordination, and decision-making skills
  
• Proficiency in back-office systems, regulatory reporting, and Excel; familiarity with automation projects a plus
  
• NISM Series VII: Securities Operations and Risk Management Certification Examination or CA/CS/MBA (Finance) is advantageous