Principal Officer - Broker Dealer

Role Overview: As the Principal Officer designated as the regulatory officer for the broker-dealer license under IFSCA regulations, your primary responsibility is to ensure that all business and operational activities comply with IFSCA & NSE IX guidelines. Your role is crucial in maintaining regulatory compliance and upholding industry standards. The ideal candidate for this position should have hands-on experience in retail broking, exchange reporting, and back-office operations, along with strong strategic leadership skills. Key Responsibilities: - Manage Exchange & Regulatory Reporting by acting as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - Ensure timely and accurate reporting to NSE IX and IFSCA, handle audit queries, and oversee routine inspection responses from exchanges or regulators. - Oversee Broker Operations Management, including daily broking workflows such as client onboarding, order management, trade execution, margin monitoring, reconciliations, and settlements. - Collaborate with back-office vendors, tech platforms, and clearing members to ensure timely reconciliation and settlements. - Establish robust Risk, BCP & Cybersecurity frameworks, develop and test business continuity plans and cybersecurity policies. - Manage Grievance & Client Communication Oversight to ensure timely redressal of client grievances and maintain a transparent grievance handling process. - Drive Strategic Execution & Leadership by ensuring operational readiness for new product rollouts, representing the company in industry forums and regulatory interactions, and aligning broking operations with the business strategy. Qualification Required: - 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. (Note: No additional details of the company were present in the provided job description.),