Head – Trading, Compliance & Institutional Sales

AlankitDelhi, Republic Of India, IN

30+ days ago

Job description

Job Title : Stock Broking Head – Trading, Compliance & Institutional Sales

Function : Share Broking / Trading Business

Location : New Delhi

Experience Required : More than 15 years

Preferred Background : Banking / Financial Services

Educational 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 Oversight

Supervise 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 Development

Drive 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 & Governance

Implement 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 Management

Ensure 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 & Training

Train 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.

Create a job alert for this search

Head Sales • Delhi, Republic Of India, IN

Related jobs

Promoted

Head of Recruitment - Real Estate

The Management Recruitment Group (MRG)Delhi, IN

They will head the hiring function on the group level and work very closely with top management.Additionally, will be a strategic partner to the leadership team, driving the people agenda to suppor...Show moreLast updated: 1 day ago

Promoted

Lead, Institutional Sales and Trading Compliance

AlankitDelhi, Republic Of India, IN

Stock Broking Head – Trading, Compliance & Institutional Sales.Share Broking / Trading Business.MBA / PGDM, CA / ICWA, LLB (preferably with specialization in securities, finance, or compliance).Note- C...Show moreLast updated: 30+ days ago

Promoted

Alankit - Head - Trading / Compliance & Institutional Sales

AlankitDelhi NCR, India

Description : Job Title : Stock Broking Head Trading, Compliance & Institutional Sales.Function : Share Broking / Trading Business. Experience Required : More than 15...Show moreLast updated: 6 days ago

Promoted

Head of Compliance

Pay10 IndiaNew Delhi, Delhi, India

Regulatory Compliance (RBI & Other Authorities).Develop, implement, and maintain compliance programs in line with RBI regulations for PA, cross-border PA, and PPI license holders.Act as the primary...Show moreLast updated: 21 days ago

Promoted

Institutional Sales

Antal InternationalGreater Delhi Area, India

Job Title : Cluster Manager – Financial Institutions.We are looking for a seasoned professional to lead our Institutional Sales function for the Delhi cluster. In this role, you will be responsible f...Show moreLast updated: 10 days ago

Promoted

National Sales Head – Mattresses Division

V&J Furnishings Pvt. Ltd.Delhi, India

National Sales Head – Mattresses Division : Ahmedabad (Head Office) |.Extensive Nationwide Travel Required.Lead the Future of Luxury Comfort with V&J Furnishings : V&J Furnishings is a pioneering lea...Show moreLast updated: 22 days ago

Promoted

Head of Sales and Client Relations

ConfidentialNoida

The Head of Sales and Client Relations will lead sales and client management initiatives, drive revenue growth, strengthen client relationships, and ensure delivery of high-quality market research ...Show moreLast updated: 4 days ago

Promoted

Head – Trading, Compliance & Institutional Sales

AlankitDelhi, India, India

Promoted

Head - Trading, Compliance & Institutional Sales

AlankitDelhi, Republic Of India, IN

Promoted

Securities Trading Compliance Lead

AlankitDelhi, Republic Of India, IN

Promoted

Head of Sales

AviateDelhi, IN

At Humantic AI, our mission is to humanize the internet.Our product is at the cutting-edge of AI, Psychology and large-scale data. We believe that we have an opportunity (and even a responsibility) ...Show moreLast updated: 30+ days ago

Promoted
New!

Senior Manager - Risk and Compliance

Good Business LabDelhi, IN

We use rigorous academic research to prove that worker well-being programs have business impacts.We develop market-ready, scalable interventions that benefit both workers and businesses.Our goal is...Show moreLast updated: 18 hours ago

Promoted

Director, Trading and Regulatory Compliance

AlankitDelhi, Republic Of India, IN

Promoted

Head of Broking

ConfidentialGurugram, Gurgaon / Gurugram, India

Mandate open in the fastest-growing Stock Market platform!!.A bachelor's degree in Finance, Business, Economics, or an MBA is preferred. Develop and execute a high-impact sales and distribution stra...Show moreLast updated: 4 days ago

Promoted

Head Of Compliance

Pay10 IndiaDelhi, Republic Of India, IN

Promoted

Head of Investor Relations

ConfidentialGurugram, Gurgaon / Gurugram, India

Develop and implement a world-class investor relations program aligned with the NBFC's objectives.Prepare and deliver investor presentations, quarterly / annual results disclosures, and management co...Show moreLast updated: 4 days ago

Promoted

Head of New Product Development (NPD)

Blue Signal SearchDelhi, IN

Head of New Product Development (NPD).Nationwide (Remote – with up to 50% international travel).Fluency in English is essential for collaboration across our global teams. Aesthetic Medicine, Consume...Show moreLast updated: 30+ days ago

Promoted

Institutional Sales Manager

Talks About People HR SolutionsDelhi, Republic Of India, IN

We’re Hiring | Manager / AVP – Institutional Sales (Treasury & Investments).Industry : BFSI | Investment Management | Treasury Solutions. Are you an experienced Institutional Sales professional with ...Show moreLast updated: 1 day ago