Dealmoney - Head - Operations & Compliance - Stock Broking BusinessDestimoney Commodities Private Limited / Dealmoney Securities Private Limited • Mumbai, India
Dealmoney - Head - Operations & Compliance - Stock Broking Business
Destimoney Commodities Private Limited / Dealmoney Securities Private Limited • Mumbai, India
30+ days ago
Job descriptionOversee and manage all operational functions of the stockbroking business, ensuring accuracy, efficiency, and timeliness of transactions. Ensure complete compliance with SEBI, NSE, BSE, CDSL / NSDL, and other regulatory bodies. Develop and implement standard operating procedures (SOPs) to streamline back-office and front-office operations. Monitor daily trade settlements, reconciliations, and client fund / securities movements. Ensure timely redressal of client queries, grievances, and operational discrepancies. Collaborate with internal departments such as risk, finance, and technology to enhance workflow integration and system efficiency. Manage all audits (internal, statutory, and regulatory) and ensure timely closure of observations. Lead a team of operations and compliance professionals, fostering a culture of accountability and performance. Liaise with regulators, depositories, and exchanges for policy changes, circulars, and regulatory updates. Prepare and review compliance reports, MIS, and dashboards for senior management. Ensure business continuity and risk mitigation through robust operational controls. Drive automation and process optimization initiatives to improve operational efficiency. Strong knowledge of stockbroking operations, including trade processing, settlement cycles, and depository operations. In-depth understanding of SEBI, NSE / BSE, and CDSL / NSDL compliance frameworks. Expertise in regulatory reporting, audit management, and risk mitigation. Excellent leadership and team management skills to drive productivity and accountability. Proficiency in analytical thinking, problem-solving, and process re-engineering. Strong command of communication, stakeholder management, and decision-making. Hands-on experience in back-office and compliance software tools used in the broking industry. Ability to manage multiple priorities in a fast-paced, regulatory-driven environment. Integrity, attention to detail, and commitment to ethical business Bachelor's degree in Finance, Business Administration, Commerce, or related field (Master's degree preferred). Certification in NISM / Compliance / Risk Management will be an added advantage. 8-12 years of relevant experience in operations and compliance roles within the stock broking or capital markets industry, including at least 3-5 years in a leadership capacity.
Employment Type : Full-time, On-site
Company : Dealmoney Commodities Pvt. Ltd. (Formerly Known as Dealmoney Securities Pvt. Ltd.)
Company Overview :
Established in 2006, Dealmoney Commodities Pvt. Ltd. is one of India's leading full-service financial organizations, providing seamless single-window trading access across top Indian exchanges and multiple market segments. Committed to delivering value and transparency, Dealmoney continues to set benchmarks in client satisfaction, operational excellence, and compliance governance.
Role Overview :
- The Head of Operations and Compliance - Stock Broking will lead the end-to-end operations and compliance functions of the stockbroking division.
- The role involves ensuring smooth business operations, regulatory adherence, process optimization, and governance alignment with SEBI and exchange norms. The position demands a strategic thinker with strong leadership, analytical, and communication skills to drive operational efficiency and compliance excellence.
Key Responsibilities :
Required Skillsets :
(ref : iimjobs.com)
Create a job alert for this search
Head Compliance • Mumbai, India
Related jobs
)
Head - HR Operations, Compliance and Governance
Magma General Insurance Limited • Mumbai Metropolitan Region, India
Total Work Experience : 15+ years.MBA HR OR equivalent qualification.Design and implement compensation strategies that align with the company's business goals.
Manage the company's benefits program t...Show more
Last updated: 4 days ago • Promoted
Head of Compliance
Artha Group • Mumbai, Maharashtra, India
Artha Group is a performance-led investment house managing over ₹1,250 crores (USD 150M+) across five fund platforms including Artha Venture Fund, Artha Select Fund, and Artha Continuum Fund.Our ve...Show more
Last updated: 30+ days ago • Promoted
Dealmoney - Head - Operations & Compliance - Stock Broking Business
Destimoney Commodities Private Limited / Dealmoney Securities Private Limited • Mumbai,Maharashtra,India, India
Employment Type : Full-time, On-site Company : Dealmoney Commodities Pvt.Formerly Known as Dealmoney Securities Pvt.Company Overview : Established in 2006, De...Show more
Last updated: 30+ days ago • Promoted
Compliance Manager
Evalueserve India • Mumbai, Maharashtra, India
Elevate Your Impact Through Innovation and Learning.Evalueserve is a global leader in delivering innovative and sustainable solutions to a diverse range of clients, including over 30% of Fortune 50...Show more
Last updated: 30+ days ago • Promoted
Compliance Manager - Treasury
Kotak Mahindra Bank • Mumbai, Maharashtra, India
Compliance Team Member - Treasury.The key responsibilities would include the following : .Supporting the business / treasury function of the bank by giving.
Supporting the team lead in reviewing.Treasur...Show more
Last updated: 4 days ago • Promoted
Choice International - Head - Operations
Choice International Limited • Mumbai, India
Experience : 15+ years in Wealth / Financial Services Operations.About the Group is an End-To-End financial services conglomerate, encapsulating the entire range.
we have come a long way.Each passing...Show more
Last updated: 7 days ago • Promoted
Head of Investment Compliance
Confidential • Mumbai
What are the ongoing responsibilities of this position.Team Leadership & Development : .Lead, mentor, and develop a team of compliance professionals.
Plan, prioritize, and align team objectives with d...Show more
Last updated: 30+ days ago • Promoted
Manager – Compliance
Glenmark Pharmaceuticals • Mumbai, Maharashtra, India
DESIRED EXPERIENCE AND KNOWLEDGE.Designation : Manager Compliance.Business Unit : Corporate Functions.The Manager Corporate Ethics and Compliance will be the pivotal to creation and monitoring of com...Show more
Last updated: 7 days ago • Promoted
AIF Compliance Manager
The Premier Consultants ( Recruitment Company ) • Mumbai, Maharashtra, India
Currently we are hiring AIF Compliance Manager for a leading Fund Management Company.Position : Compliance (AIF-SEBI-PMS).
The organization is a rapidly expanding and fully regulated entity under SEB...Show more
Last updated: 20 hours ago • Promoted • New!
Head of Product & Operations
I GAME PAY TECHNOLOGIES • Navi Mumbai, Maharashtra, India
To lead the build, integration, and operational launch of next-generation fintech and crypto payment platforms under I Game Pay Technologies Inc.
The role requires a technically strong and entre...Show more
Last updated: 1 day ago • Promoted
Head – Growth and Operations
Bridge Et Al. • Mumbai, India
Our client is a rapidly growing grocery tech startup in India, aiming to revolutionise the grocery shopping experience with innovative technology solutions.
They are seeking a dynamic and strategic ...Show more
Last updated: 30+ days ago • Promoted
Head of Compliance - Barclays Investments Loans India Private Limited
Confidential • Mumbai, India
Join us as a 'Head of Compliance for Barclays Investments and Loans India Private Limited'.To ensure that appropriate compliance induction, annual refresher, and other topical training is delivered...Show more
Last updated: 26 days ago • Promoted
Head of Operations and Compliance - Stock Broking
Confidential • Mumbai, India
Established in 2006, Dealmoney Commodities Pvt Ltd ( Formerly Known as Dealmoney Securities Pvt.Ltd) is one of the leading full-service financial organizations in India.
Indian exchanges and multipl...Show more
Last updated: 26 days ago • Promoted
Head of Compliance
Vahura • Mumbai, Maharashtra, India
SEBI and Stock Exchanges, SEBI LODR Compliances, Secretarial Activities etc.Interested professionals can reach out to nilasha@vahura.Show more
Last updated: 7 days ago • Promoted
Operations / Compliance
Right Returns Financial Planning • Mumbai, Maharashtra, India
The role involves working in execution, reporting and compliance area.It would involve successfully supporting team members as well as bringing clients on the same page on the purpose and process o...Show more
Last updated: 4 days ago • Promoted
Head of Insurance Operations & Compliance
Triaxa - FZCO • Mumbai, Maharashtra, India
Position : Insurance Operations & Compliance Manager & Founder Mentor Industry : Insurance (Health / Motor / Life / General – flexible) Experience : 5–7 Years Engagement : Full-time Location : India (R...Show more
Last updated: 2 days ago • Promoted
Head of Token Strategy & Growth-Blockchain
Brainwave Science • Mumbai, IN
Head of Token Strategy & Growth .Using EEG and AI-driven analytics, our platform delivers measurable insights into stress, focus, anxiety, and relaxation—empowering individuals and organizations to...Show more
Last updated: 8 days ago • Promoted
Artha Group - Head - Compliance
Artha Group • Mumbai, India
Description : About Artha Group : Artha Group is a performance-led investment house managing over 1,250 crores (USD 150M+) across five fund platfo...Show more
Last updated: 30+ days ago • Promoted