Job DescriptionHead of Operations - Broking Firm
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nJob Title: Head of Operations - Broking
NLocation: [Mumbai]
NDepartment: Operations
NReporting To: MD
NRole Objective:
NTo lead and manage end-to-end broking operations including Client Onboarding, KYC, Settlement, DP, Risk, and Regulatory compliance while ensuring zero error, TAT adherence and operational efficiency.
NKey Responsibilities:
N1. Client Operations:
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- Oversee entire client lifecycle - Account opening, KYC/KRA, CKYC, Modification, Closure, Nominee, Segment activation (NSE, BSE, MCX, F&O;, Commodity, Currency). N
- Ensure error-free UCC upload and trade code activation. N
- Manage client servicingqueries related to ledger, payout, P&L;, CMR, holding. N

n2. Settlement & Clearing:
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- Responsible for Daily Pay-in / Pay-out of Funds & Securities (NSE, BSE, MCX). N
- Manage Early Pay-in, Auction, Corporate Actions, Dividends. N
- Reconciliation with Clearing Corp, Banks, and Depositories (CDSL / NSDL). N

n3. DP Operations:
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- Manage DP operations - DIS, E-DIS,



MTF pledge/unpledge, SLBM, Transmission, Demat/Remat. N
- Ensure compliance with CDSL / NSDL audits. N

n4. Risk & Compliance:
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- Liaison with Exchanges, SEBI, Depositories for all operational compliance and audits - Internal Audit, System Audit, DP Audit, Inspection. N
- Implement RMS policies,Peak Margin, Pledge-Repledge mechanism as per SEBI circulars. N
- Ensure all SEBI current circulars are implemented on time. N

n5. Process & Technology:
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- Drive automation of manual processes with Tech team. N
- SOP creation for all processes. N
- Manage Back-office vendors - like Omnesys/NEST, TCS Bancs, etc. N

n6. Team Leadership:
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- Lead, train and manage Ops team across KYC, Settlement, DP, Risk. N
- TAT, Quality and Error monitoring. N

nRequired Qualification & Experience:
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- Graduate / Post-Graduate. NISM Depository / Capital Market certification preferred.

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