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)
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Head Compliance • Mumbai, India
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