Director, Trading and Regulatory Compliance

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.

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Director Compliance • Delhi, Republic Of India, IN