Head – Trading, Compliance

16 hours ago

Delhi, India Alankit Full time

Job Title: Stock Broking Head – Trading, Compliance & Institutional SalesFunction: Share Broking / Trading BusinessLocation: New DelhiExperience Required: More than 15 yearsPreferred Background: Banking / Financial ServicesEducational Qualification: MBA/PGDM, CA/ICWA, LLB (preferably with specialization in securities, finance, or compliance)Note- Candidates must be based in Delhi or open to relocating in order to apply.Position Overview:We are seeking a senior professional to lead our Stock Broking vertical, with comprehensive responsibility for trading operations, compliance, regulatory interactions, and business growth. The ideal candidate will bring strong expertise in securities and regulatory frameworks, with a preference for those with a robust background in banking and financial services.Key Responsibilities:Trading & Operational OversightSupervise retail broking operations (Domestic & International) & institutional.Handle products such as Equities, Options, Fixed Income, DVP/RVP, Prime Brokerage, and Mutual Funds.Liaise with stock exchanges, depositories, and regulators on operational matters.Sales & Business DevelopmentDrive revenue growth through institutional and retail client acquisition.Build and maintain strong relationships with HNIs, FIIs, and institutional clients.Leverage banking sector insights to enhance cross-selling of investment products.Work through associates & Partners.Risk & GovernanceImplement surveillance systems, risk assessments, and control measures.Analyze compliance gaps and develop mitigation strategies.Respond to audit queries and coordinate with regulators during inspections.Compliance & Regulatory ManagementEnsure full compliance with SEBI, NSE, BSE, NCDEX and NSDL & CDSL regulations.Conduct regular transaction reviews and implement internal audits.Oversee Anti-Money Laundering (AML) programs and risk-based monitoring.Act as the Compliance Officer for Insider Trading policies and Employee Trading (PAD), including training and internal controls.Manage regulatory filings and applications, including membership transfers across exchanges and depositories.Team Leadership & TrainingTrain management and employees on compliance, trading standards, and market regulations.Lead a high-performance team across sales, trading, and compliance verticals.Key Skills & Attributes:Strong knowledge of securities markets and compliance frameworks.Experience in managing broking/trading operations within banking or financial institutions.Regulatory knowledge and liaison experience with SEBI, NSE, BSE, CDSL.Excellent analytical, leadership, and stakeholder management skills.Proficiency in handling institutional and retail trading models.

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