Job
Description
Role & responsibilities Lead and manage end-to-end operations including Compliance, KYC, Risk Management, Depository Participant Operations, Trade and Settlement and Audit. Ensure full compliance with regulatory frameworks set by SEBI, NSE, BSE, and CDSL Oversee and coordinate internal audits, exchange inspections, and regulatory reporting. Supervise the functioning of back-office operations, ensuring timely trade settlements, reconciliations, and accurate reporting. Implement and refine Standard Operating Procedures (SOPs) to improve operational efficiency and standardize processes. Monitor trading desk activities, ensuring risk parameters are adhered to and suspicious activity is flagged. Ensure timely handling and resolution of investor grievances and regulatory escalations. Collaborate with cross-functional teams including Compliance, IT, Risk, and Product to support business goals. Play a key role in software/platform migrations, tech integrations, and operational automation initiatives. Preferred candidate profile We are looking for a seasoned professional with extensive experience in stock broking operations to join our organization as the Operations Head . The ideal candidate will have a strong track record in managing both front-office and back-office operations, ensuring compliance with regulatory frameworks, and driving operational efficiencies. A leader with hands-on expertise in risk management , AML/KYC , and depository operations will be a perfect fit. Key Qualifications & Experience: Educational Qualification: Bachelor's degree in Commerce or equivalent. Certifications: NISM Series III-A (Compliance) NISM Series VI (Depository Participant Operations) NISM Series VIII (Derivatives) Experience: 1015 years of progressive experience in stock broking operations , including significant leadership roles. In-depth Knowledge: Regulatory compliance with SEBI , NSE , BSE , and CDSL norms. Expertise in AML/KYC , risk management , and depository operations . Proficiency in trading platforms , back-office operations , and audit processes .
