Role Overview: The Manager will manage daily broking operations, regulatory compliance, risk monitoring, and coordination with exchanges and depositories. They will support senior leadership in achieving SEBI, NSE, BSE, MCX, and Depository compliance, ensuring smooth and controlled operations from Day 0. Key Responsibilities 1. Broking Operations Management ● Manage front office, mid office, and back office operations● Oversee trade lifecycle, settlements, RMS, surveillance, and depository activities● Ensure operational readiness as per SEBI & Exchange norms● Liaise with NSE, BSE, MCX, CDSL/NSDL, and Clearing Corporations 2. Compliance & Regulatory Oversight ● Implement and monitor compliance with SEBI, Exchange, PMLA, and Depository regulations● Draft and maintain SOPs, compliance manuals, and risk control policies● Prepare and coordinate regulatory submissions, audits, inspections & reporting● Ensure strong adherence to KYC, AML, and PMLA guidelines 3. Risk Management ● Monitor margins, exposure, client-level risks, and surveillance alerts● Implement strong risk frameworks and operational control checks● Ensure fraud prevention, breach reporting, and timely escalation 4. Client & Governance Support ● Handle investor grievance redressal processes● Support governance-related documentation and audit preparedness● Maintain 100% compliance across systems and procedures Eligibility Requirements (SEBI & Exchange aligned) Mandatory CertificationsNISM Series–VII: Securities Operations & Risk Management (SORM) Required for roles handling broking operations, settlements, and risk management. Covers trade lifecycle, clearing & settlement, risk controls, and compliance. Preferred Certification:NISM Series–III-A (Securities Intermediaries Compliance – Non-Fund) Required for Compliance Officer roles under SEBI if the candidate is to be considered for future compliance responsibilities. Experience Requirements: ● 5–10 years of experience in stock broking, capital markets, clearing & settlement, or compliance● Strong hands-on experience in: o Market operations o KYC / AML / PMLA processes o SEBI, Exchange & Depository regulations o RMS & Surveillance o Handling audits, inspections & regulatory reporting● Prior experience as Manager / Assistant Manager / Senior Executive in Operations or Compliance preferred 3. “Fit & Proper” Criteria (SEBI Intermediaries Regulations) Candidates must meet: ● High integrity, clean regulatory record● No criminal charges, fraud, or SEBI/RBI/IRDA restrictions● Strong financial integrity (not bankrupt/insolvent)● Proven professionalism and ethical conduct Key Skills: ● Strong understanding of securities markets and compliance frameworks● Expertise in broking operations & risk management● Ability to set up processes from scratch in a new broking environment● Excellent communication with regulators, exchanges & stakeholders● Detail-oriented, analytical, and proactive problem solver● Ability to work in a fast-paced startup environment Why Join ? ● Be part of the founding operations team of a new-age brokerage● High responsibility, autonomy, and strategic impact● Build systems, controls, and processes from Day 0
experience
10
...
Role Overview: The Manager will manage daily broking operations, regulatory compliance, risk monitoring, and coordination with exchanges and depositories. They will support senior leadership in achieving SEBI, NSE, BSE, MCX, and Depository compliance, ensuring smooth and controlled operations from Day 0. Key Responsibilities 1. Broking Operations Management ● Manage front office, mid office, and back office operations● Oversee trade lifecycle, settlements, RMS, surveillance, and depository activities● Ensure operational readiness as per SEBI & Exchange norms● Liaise with NSE, BSE, MCX, CDSL/NSDL, and Clearing Corporations 2. Compliance & Regulatory Oversight ● Implement and monitor compliance with SEBI, Exchange, PMLA, and Depository regulations● Draft and maintain SOPs, compliance manuals, and risk control policies● Prepare and coordinate regulatory submissions, audits, inspections & reporting● Ensure strong adherence to KYC, AML, and PMLA guidelines 3. Risk Management ● Monitor margins, exposure, client-level risks, and surveillance alerts● Implement strong risk frameworks and operational control checks● Ensure fraud prevention, breach reporting, and timely escalation 4. Client & Governance Support ● Handle investor grievance redressal processes● Support governance-related documentation and audit preparedness● Maintain 100% compliance across systems and procedures Eligibility Requirements (SEBI & Exchange aligned) Mandatory CertificationsNISM Series–VII: Securities Operations & Risk Management (SORM) Required for roles handling broking operations, settlements, and risk management. Covers trade lifecycle, clearing & settlement, risk controls, and compliance. Preferred Certification:NISM Series–III-A (Securities Intermediaries Compliance – Non-Fund) Required for Compliance Officer roles under SEBI if the candidate is to be considered for future compliance responsibilities. Experience Requirements: ● 5–10 years of experience in stock broking, capital markets, clearing & settlement, or compliance● Strong hands-on experience in: o Market operations o KYC / AML / PMLA processes o SEBI, Exchange & Depository regulations o RMS & Surveillance o Handling audits, inspections & regulatory reporting● Prior experience as Manager / Assistant Manager / Senior Executive in Operations or Compliance preferred 3. “Fit & Proper” Criteria (SEBI Intermediaries Regulations) Candidates must meet: ● High integrity, clean regulatory record● No criminal charges, fraud, or SEBI/RBI/IRDA restrictions● Strong financial integrity (not bankrupt/insolvent)● Proven professionalism and ethical conduct Key Skills: ● Strong understanding of securities markets and compliance frameworks● Expertise in broking operations & risk management● Ability to set up processes from scratch in a new broking environment● Excellent communication with regulators, exchanges & stakeholders● Detail-oriented, analytical, and proactive problem solver● Ability to work in a fast-paced startup environment Why Join ? ● Be part of the founding operations team of a new-age brokerage● High responsibility, autonomy, and strategic impact● Build systems, controls, and processes from Day 0
experience
10
