Head - Operation - Stock Broking

Head - Operation - Stock Broking

Key Responsibilities

1. Compliance & Regulatory Oversight

- Ensure strict adherence to SEBI, stock exchanges, and other regulatory requirements.

- Oversee timely regulatory filings, compliance audits, and internal controls.

- Work closely with legal and compliance teams to ensure a zero-breach environment.

2. Finance, Accounting & Risk

- Oversee daily accounting, settlements, reconciliations, and financial controls.

- Ensure accuracy and timeliness of P&L, MIS, and operational reports.

- Work with finance teams to manage capital allocation, margins, and funding flows.

- Supervise risk monitoring systems and ensure limits and controls are implemented effectively.

3. IT & Infrastructure

- Oversee trading and back-office technology, ensuring uptime, security, and smooth functioning.

- Coordinate between IT, risk, and trading teams to address operational bottlenecks.

- Support automation and system enhancements for greater efficiency.

4. Operations & Process Management

- Ensure seamless coordination across compliance, finance, IT, and risk teams.

- Develop, document, and enforce Standard Operating Procedures (SOPs).

- Establish clear processes and workflows for operational discipline.

- Track and monitor adherence to SOPs and recommend improvements.

5. Leadership & Coordination

- Act as the central point of integration between trading desks and support teams.

- Build and mentor a high-performing operations team.

- Manage external stakeholders such as auditors, clearing members, brokers, and technology vendors.

- Work closely with management to align operations with the firm's strategic goals and growth plans.

Candidate Profile

- 8-10 years of experience in a stock broking or trading firm.

- Strong knowledge of SEBI and stock exchange compliance requirements.

- Proven ability to manage multi-department coordination (compliance, risk, finance, IT).

- Experience in creating and tracking SOPs, systems, and processes.

- Strong organizational, leadership, and problem-solving skills.

- Ability to work in a fast-paced, growth-oriented environment.

- Excellent communication skills to liaise effectively with management and cross-functional teams.