Head – Broking Operations HR LOBBY

The Corporate Institute; India; On-site; INR 5,000,000 - 9,500,000; Full time

Job summary

Univest is seeking a seasoned leader to head its Broking Operations & Risk function in India. This role will build a scalable, technology-driven operations ecosystem while ensuring regulatory adherence across the entire broking lifecycle.

You will oversee Back Office, KYC, DP Operations, RMS, Trade Processing, Settlements, Corporate Actions, and Customer Operations, driving process excellence, automation, and strong risk controls in partnership with Product and Tech.

Qualifications

• 10+ years in Broking Operations within Indian Capital Markets.
• Hands-on with Back Office, KYC, DP Operations, RMS, Trade Processing, Settlements, and Corporate Actions.
• Proficiency in TechExcel and brokerage operational systems.
• Understanding OMS/RMS platforms, exchange interfaces, depository operations, and trade lifecycle.
• Experience in automation, operational excellence, and risk management.

Responsibilities

• Lead end-to-end Broking Operations including Back Office, KYC, DP Ops, RMS, Trade Processing, Settlements, Corporate Actions, and Customer Ops.
• Ensure accuracy, process integrity, and timely execution across operations.
• Own and optimise brokerage operations on TechExcel and drive platform efficiency.
• Collaborate with Product and Technology to automate workflows and enhance systems.
• Develop robust controls, SOPs, and risk management frameworks.
• Monitor KPIs, identify improvements, and drive continuous process excellence.
• Coordinate with Exchanges, Depositories, Clearing Corporations, Banks, and ecosystem partners.
• Lead audits, reconciliations, incident management, and control reviews.
• Build and mentor a high-performing operations team with a culture of accountability.

Skills

Broking operations

Back Office

KYC

DP Operations

RMS

Trade Processing

Settlements

Corporate Actions

TechExcel

OMS/RMS

Tools

TechExcel

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.