Univest – Head – Broking Operations Univest

The Corporate Institute; Gurgaon; On-site; INR 400,000 - 750,000; Full time

Job summary

Univest is seeking an accomplished leader to head its Broking Operations & Risk function. You will build and manage a scalable, technology-driven operations ecosystem while ensuring regulatory adherence and operational excellence across the brokerage lifecycle.

You will oversee Back Office, KYC, DP Operations, RMS, Trade Processing, Settlements, Corporate Actions and Customer Operations, driving automation and CPT alignment with partners across exchanges and depositories.

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.
• Proven expertise in TechExcel and brokerage operational systems.
• Understanding of OMS/RMS platforms, exchange interfaces, and complete trade lifecycle.

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 and risk controls across all functions.
• Own and optimize brokerage operations on TechExcel and drive platform efficiency.
• Collaborate with Product and Technology to automate workflows and improve systems.
• Develop and implement robust operational controls, SOPs and risk management frameworks.
• Monitor KPIs, identify improvement opportunities and drive continuous improvement.
• 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.

Skills

Broking Operations

KYC

Back Office

RMS

Trade Processing

Settlements

Corporate Actions

Risk Management

Process Automation

Stakeholder Management

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 & optimize 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.