Operations Head - Stock Broking

Univest; Gurugram District; On-site; INR 4,000,000 - 7,000,000; Full time

Job summary

Univest in Gurgaon is seeking an experienced Operations Head – Stock Broking to oversee end-to-end broking operations with a focus on regulatory compliance and client service. The role demands strong leadership across risk, operations, and technology teams in a fast-growing wealth-tech environment.

You will drive SOPs, automate processes, and monitor KPIs to ensure efficient settlements, onboarding, and ongoing operational excellence.

Qualifications

• 8–15 years in stock broking operations, with 3–5 years in leadership.
• Strong understanding of SEBI regulations and exchange operations.
• Experience handling exchange audits, compliance, and regulatory reporting.
• Experience with broking platforms, OMS/RMS, and tech solutions.
• Proven ability to mentor teams and manage stakeholders across departments.
• Knowledge of DP operations, KYC, and client onboarding processes.

Responsibilities

• Lead end-to-end equity, F&O, currency, and commodity operations.
• Oversee trade execution support, settlements, and post-trade activities.
• Coordinate with Clearing Corporation, NSE/BSE/MCX, CDSL/NSDL operations.
• Ensure account opening, KYC, and DP operations run smoothly.

Skills

Leadership

Stakeholder management

Analytical thinking

Decision making

Customer-first mindset

Operational excellence

Regulatory knowledge

Education

Bachelor's/Master's in Finance/Commerce/Business

Tools

OMS/RMS

Technology platforms

Job description

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?

• Opportunity 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.