Head – Broking Operations HR LOBBY

The Corporate Institute; Gurgaon; On-site; INR 3,000,000 - 7,500,000; Full time

Job summary

Univest is seeking a seasoned leader to head its Broking Operations & Risk function in India. You will build and manage a scalable, technology-driven operations ecosystem while ensuring regulatory adherence and robust risk controls across the broking lifecycle.

You will lead end-to-end operations across Back Office, KYC, DP Operations, RMS, trade processing, settlements, and corporate actions, driving automation, process excellence, and strong stakeholder collaboration with Exchanges,

Qualifications

• 10+ years of experience in Broking Operations within the Indian Capital Markets ecosystem.
• Hands-on experience across Back Office, KYC, DP Operations, RMS, Trade Processing, Settlements and Corporate Actions.
• Experience with TechExcel and brokerage operational systems.
• Understanding of OMS/RMS platforms, exchange interfaces, depository operations, and the complete trade lifecycle.
• Experience in process automation, operational excellence, and risk management.
• Strong analytical, problem-solving, and stakeholder management skills.
• Proven experience leading and scaling high-performing operations teams in a fast-paced brokerage environment.

Responsibilities

• Lead the end-to-end Broking Operations function, including Back Office, KYC, Account Opening, DP Operations, RMS, Trade Processing, Settlements, Corporate Actions, and Customer Operations.
• Ensure operational accuracy, process integrity, and timely execution across all operational functions.
• Own and optimise brokerage operations on TechExcel and drive effective utilisation of the platform.
• Collaborate with Product and Technology teams to enhance operational systems, automate workflows, and improve platform efficiency.
• Develop and implement robust operational controls, SOPs, and risk management frameworks.
• Monitor operational KPIs, identify improvement opportunities, and drive continuous process excellence.
• Ensure seamless coordination with Stock Exchanges, Depositories, Clearing Corporations, Banks, and other ecosystem partners.
• Lead operational audits, reconciliations, incident management, and control reviews.
• Build, mentor, and lead a high-performing operations team while fostering a culture of accountability and continuous improvement.

Job description

About the Role:

Univest is looking for a seasoned leader to head its Broking Operations & Risk function. This role will be responsible for building and managing a scalable, technology-driven operations ecosystem while ensuring operational excellence, robust risk controls, and regulatory adherence across the entire broking lifecycle.

Key Responsibilities:

• Lead the end-to-end Broking Operations function, including Back Office, KYC, Account Opening, DP Operations, RMS, Trade Processing, Settlements, Corporate Actions, and Customer Operations.
• Ensure operational accuracy, process integrity, and timely execution across all operational functions.
• Own and optimise brokerage operations on TechExcel and drive effective utilisation of the platform.
• Collaborate with Product and Technology teams to enhance operational systems, automate workflows, and improve platform efficiency.
• Develop and implement robust operational controls, SOPs, and risk management frameworks.
• Monitor operational KPIs, identify improvement opportunities, and drive continuous process excellence.
• Ensure seamless coordination with Stock Exchanges, Depositories, Clearing Corporations, Banks, and other ecosystem partners.
• Lead operational audits, reconciliations, incident management, and control reviews.
• Build, mentor, and lead a high-performing operations team while fostering a culture of accountability and continuous improvement.

What We’re Looking For:

• 10+ years of experience in Broking Operations within the Indian Capital Markets ecosystem.
• Strong hands-on experience across Back Office, KYC, DP Operations, RMS, Trade Processing, Settlements, and Corporate Actions.
• Proven hands-on expertise in TechExcel and a strong understanding of brokerage operational systems.
• Good understanding of OMS/RMS platforms, exchange interfaces, depository operations, and the complete trade lifecycle.
• Demonstrated experience in process automation, operational excellence, and risk management.
• Strong analytical, problem-solving, and stakeholder management skills.
• Proven experience leading and scaling high-performing operations teams in a fast-paced brokerage environment.