Head – Broking Operations HR LOBBY

The Corporate Institute; Gurugram District; On-site; INR 3,500,000 - 5,200,000; Full time

Job summary

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

You will lead Back Office, KYC, DP Operations, RMS, Trade Processing, Settlements, Corporate Actions, and Customer Operations, driving operational excellence and automation while mentoring a high-performing team.

Qualifications

• 10+ years of experience in Broking Operations within the Indian Capital Markets ecosystem.

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.

Skills

Broking operations

KYC

DP operations

Trade processing

Risk management

TechExcel

OMS/RMS platforms

Process automation

Stakeholder management

Team leadership

Tools

TechExcel

OMS/RMS platforms

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.