Broking Operations

9 hours ago

Mumbai, Maharashtra, India Anand Rathi Group Full time ₹ 15,00,000 - ₹ 25,00,000 per year

Company Name -
Anand Rathi Global Intermediaries Limited (Stock Broker)

Company Overview

We are a SEBI-registered Trading Member and Self-Clearing Member with a focus on institutional broking, proprietary trading, and promoter group trading activities.

Role Overview

This leadership position is responsible for overseeing and streamlining the full spectrum of broking operations—prop desk, promoter group trades, clearing/settlement, and regulatory compliance. The Manager will be the primary operational and compliance leader, reporting to the business head / senior management and directly coordinating with trading desks, group entities, and regulatory bodies

Key Responsibilities

  • Lead and manage day-to-day operational activities for institutional and proprietary trading, including trade capture, affirmation, allocation, clearing, and settlement
  • Supervise account opening and KYC for group/promoter entities and manage operational support for prop desk
  • Oversee generation and validation of daily P&L, position and trade reconciliations for all in-house group and prop accounts
  • Ensure timely submissions of all SEBI, Exchange, and other regulatory/statutory reporting related to proprietary and group trading activities
  • Design and monitor risk controls, margin management, surveillance, and trade reporting for high-value, complex trades
  • Lead process audits, manage regulatory and exchange inspections, and respond to compliance queries
  • Optimize operational workflows between trading, clearing, back-office, and compliance functions—drive automation and process improvement
  • Advise trading desks on regulatory limits, market abuse controls, and operational best practices; ensure all activities are within SEBI/guideline frameworks
  • Coordinate with internal tech/support teams for system enhancements and automation, as needed for institutional broking
  • Lead, train, and mentor the operations team

Candidate Requirements

  • Postgraduate with 7–12 years in institutional/capital markets broking operations, including proprietary trading or group trades
  • Strong technical understanding of trade lifecycle—including trade booking, settlement, reconciliations, and risk management for institutional/proprietary desks
  • Proven track record in managing SEBI, NSE/BSE, and Depository reporting, compliance, and audits
  • Experience managing teams, process upgrades, and operational risk reviews
  • Strong analytical, stakeholder coordination, and decision-making skills
  • Proficiency in back-office systems, regulatory reporting, and Excel; familiarity with automation projects a plus
  • NISM Series VII: Securities Operations and Risk Management Certification Examination or CA/CS/MBA (Finance) is advantageous

  • Broking Auditor

    4 weeks ago

    Mumbai, Maharashtra, India Acme Services Full time

    Hiring for a leading CA firm for Mumbai Location. Roles & Responsibilities ➢ Perform audits on broking operations to verify adherence to compliance and regulatory requirements. ➢ Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues. ➢ Perform detailed audits of broking activities,...

  • Broking Auditor

    6 days ago

    Mumbai, Maharashtra, India Acme Services Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Hiring for a leading CA firm for Mumbai Location.Roles & Responsibilities➢ Perform audits on broking operations to verify adherence to compliance and regulatory requirements.➢ Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.➢ Perform detailed audits of broking activities, including...

  • Head of Broking Business

    4 days ago

    Mumbai, Maharashtra, India ACME SERVICES PRIVATE LIMITED Full time ₹ 1,20,000 - ₹ 1,80,000 per year

    1. Leadership & Strategy:Define and implement the strategic vision and roadmap for the stock broking vertical in alignment with the company's long-term goals.Build, mentor, and lead a high-performing team, fostering a culture of innovation, performance, and compliance.2. Sales, Revenue & Growth:Develop and execute a high-impact sales and distribution...

  • Compliance Officer(Broking Firm)

    2 weeks ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Job Title:Compliance Officer(Broking Firm)Location:MumbaiExperience:8–10 yearsIndustry:Broking / Capital MarketsJob Overview:The Compliance Officer will be responsible for ensuring end-to-end regulatory and exchange-related compliance for the broking business. The role requires in-depth knowledge of SEBI, NSE, BSE, and CDSL regulations, strong liaison...

  • Sales/ Soft Skill Trainer

    1 week ago

    Mumbai, Maharashtra, India Choice Equity Broking Pvt Ltd Full time ₹ 4,20,000 - ₹ 6,96,000 per year

    Designation: Sales & Soft Skills Trainer (BFSI – Broking/Insurance)Location: MumbaiExeperience : 5+ yearsBudget: Upto 7LPA maxAbout Choice Connect:Choice Connect, part of Choice International, is a pioneering platform enablingdistributors to sell financial products efficiently. Our ecosystem includes a diverserange of distributors—individuals, B2C...

  • State Head Retail Broking

    2 weeks ago

    Mumbai, Maharashtra, India Sbicap Securities Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Roles & Responsibilities:Achieving Business Goal and Revenue TargetsHands on experience in Equity Market/Stock Market by handling team of Clusters Manager/Branch HeadsDeveloping and Implementing Strategic plans to achieve Targets, Forge Strong Relationship with Key Clients and Identify new Business OpportunitiesResponsible for Hiring, Training and Managing...

  • Assistant Manager Accounts

    6 days ago

    Navi Mumbai, Maharashtra, India Finhaat Insurance Broking Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    Job DescriptionQualifications and Skills:Education:Bachelors degree in Commerce, Accounting, or Finance.Masters in Commerce, CA InterExperience:47 years of experience in accounting and finance roles.Experience in the insurance broking or financial services industry is preferred.Skills:Strong understanding of accounting principles and financial...

  • Backoffice Operations

    2 days ago

    Mumbai, Maharashtra, India Recex Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Job SummaryWe are looking for a detail-oriented and experienced professional to join our Backoffice Operations team in the Broking Industry. The ideal candidate will have strong expertise in capital market operations, especially with hands-on experience in Pay-in, Payout, Pledge, Re-pledge, and working knowledge of CDSL systems.Key Responsibilities /...

  • Finance & Accounts- AVP-Broking Business

    1 week ago

    Mumbai, Maharashtra, India MS Forward Full time ₹ 8,00,000 - ₹ 12,00,000 per year

    Dear CandidateExcellent openingAVP-Lead Broking Business (Finance & Accounts)Department: Finance and AccountsFunction: AccountsReporting to: Vice President - FinanceLocation: Prabhadevi & Malad, MumbaiJob PurposeEnsuring financial compliance, efficient reporting, and effective coordination to support the organization's financial objectives.Key...

  • Operations Executive

    3 weeks ago

    Mumbai, Maharashtra, India Qode Full time

    Job DescriptionJob Title : Operations ExecutiveLocation: Lower Parel MumbaiExperience Required: 2 to 5 YearsIndustry Type: Financial Services / Investment ManagementFunctional Area: Back Office Operations PMS / Mutual Funds / BrokingEmployment Type: Full Time, PermanentAbout QodeQode Advisors LLP is a SEBI-registered asset management firm offering Portfolio...