Job Title: Operations Head – Stock Broking

Location: Gurgaon (Work from Office)

Role Overview

We are seeking an experienced and strategic Operations Head – Stock Broking to oversee end-to-end broking operations, ensuring operational excellence, regulatory compliance, and exceptional client service. The ideal candidate will have extensive experience in capital markets and stock broking operations, with a deep understanding of exchange regulations, depository processes, risk management, and operational controls.

Key Responsibilities

Stock Broking Operations

- Lead and manage end-to-end equity, F O, currency, and commodity operations.

- Oversee trade execution support, settlements, pay-in/pay-out, and post-trade activities.

- Manage Clearing Corporation, NSE, BSE, MCX, CDSL, and NSDL operational processes.

- Ensure smooth execution of account opening, KYC, client onboarding, and DP operations.

Regulatory Compliance

- Ensure adherence to SEBI, NSE, BSE, CDSL, NSDL, PMLA, and other regulatory requirements.

- Coordinate regulatory audits, inspections, and compliance reporting.

- Maintain operational controls to mitigate regulatory and financial risks.

Process Excellence

- Develop and implement SOPs to improve operational efficiency.

- Drive automation and technology-led process improvements.

- Monitor operational KPIs, turnaround times, and service quality.

Risk Management

- Monitor operational risks and implement preventive controls.

- Ensure timely resolution of settlement discrepancies and operational exceptions.

- Collaborate with Risk, Compliance, Finance, and Technology teams to strengthen internal controls.

Leadership Stakeholder Management

- Lead, mentor,



and develop the operations team.

- Collaborate with internal stakeholders including Product, Technology, Compliance, Finance, and Customer Success.

- Build strong relationships with exchanges, depositories, clearing members, auditors, and regulatory authorities.

Desired Skills Qualifications

- Bachelor's or Master's degree in Finance, Commerce, Business Administration, or a related field.

- 8–15 years of experience in stock broking operations, with at least 3–5 years in a leadership role.

- Strong understanding of SEBI regulations, NSE/BSE operations, CDSL/NSDL, settlement cycles, margin processes, and DP operations.

- Experience handling exchange audits, compliance, and regulatory reporting.

- Strong leadership, problem-solving, and stakeholder management skills.

- Experience working with broking platforms, OMS/RMS, and operational technology solutions.

- NISM certifications will be an added advantage.

What We're Looking For

- Strong operational leadership with a customer-first mindset.

- Excellent analytical and decision-making abilities.

- Ability to build scalable operational processes in a high-growth environment.

- Passion for operational excellence, compliance, and continuous improvement.

Why Join Univest?

- Chance to work with one of India's fast-growing wealth-tech companies.

- Lead high-impact initiatives that shape the future of investing.

- Collaborative, fast-paced, and innovation-driven work environment.

- Competitive compensation and excellent career growth opportunities.

If you're passionate about driving operational excellence in the capital markets ecosystem, we'd love to hear from you.

📌 Operations Head - Stock Broking (India)
🏢 UNIVEST STOCK BROKING PRIVATE
📍 India