Principal Officer - Broking

As a Principal Officer - Broker Dealer at Betafront Securities (IFSC) Private Limited, your primary role will be to lead and supervise all regulatory, operational, and compliance aspects of the broking business, ensuring day-to-day readiness, exchange compliance, and business scalability. Key Responsibilities: - Exchange & Regulatory Reporting: - Act as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - Ensure timely and accurate reporting to NSE IX and IFSCA as per prescribed formats. - Oversee handling of audit queries and routine inspection responses. - Broker Operations Management: - Run and improve daily broking workflows including client onboarding, order management, trade execution, and settlements. - Coordinate with back-office vendors, tech platforms, and clearing members for timely reconciliation. - Maintain updated SOPs for customer onboarding and compliance reporting. - Risk, BCP & Cybersecurity Oversight: - Ensure robust risk management frameworks around client exposures and capital adequacy. - Oversee development and testing of business continuity plans and cybersecurity policies. - Grievance & Client Communication Oversight: - Ensure timely redressal of client grievances and maintain a transparent grievance handling process. - Strategic Execution & Leadership: - Drive operational readiness for new product rollouts and represent the company in industry forums. - Align broking operations with the business strategy and work cross-functionally with legal, compliance, technology, and product teams. Experience Requirements: - Minimum 3 years of hands-on experience in a SEBI or IFSCA-registered broking entity. - Deep understanding of brokerage workflows, exchange compliance, and client servicing. - Familiarity with stock exchange processes and regulatory reporting obligations. Education Requirements: - Postgraduate degree or diploma in finance, commerce, law, economics, or related fields. - Professional certifications such as CFA, FRM, CA, CS, CMA, or equivalent. - Alternatively, undergraduate degree with 10+ years of financial services experience. Skills & Competencies: - Strong understanding of broker-dealer regulations and regulatory frameworks. - Excellent documentation and reporting skills. - Strong stakeholder management and communication abilities. - Demonstrated integrity, operational maturity, and attention to detail.,