Job Title: Stock Broking Head – Trading, Compliance
Company Name: Alankit Limited
Company link: https://www.alankit.com/
Function: Share Broking / Trading Business
Location: Jhandewalan Extension, New Delhi
Experience Required: 15+ years
Preferred Background: Banking / Financial Services
Educational Qualification: MBA/PGDM, CA/ICWA, LLB (preferably with specialization in securities, finance, or compliance)
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Position Overview:
We are seeking a senior professional to lead our Stock Broking vertical, with comprehensive responsibility for trading operations, compliance, regulatory interactions, and business growth. The ideal candidate will bring strong expertise in securities and regulatory frameworks, with a preference for those with a robust background in banking and financial services.
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Key Responsibilities:
Compliance & Regulatory Management
- Ensure full compliance with SEBI, NSE, BSE, and CDSL regulations.
- Conduct regular transaction reviews and implement internal audits.
- Oversee Anti-Money Laundering (AML) programs and risk-based monitoring.
- Act as the Compliance Officer for Insider Trading policies and Employee Trading (PAD), including training and internal controls.
- Manage regulatory filings and applications, including membership transfers across exchanges and depositories.
Trading & Operational Oversight
- Supervise institutional and retail broking operations (Domestic & International).
- Handle products such as Equities, Options, Fixed Income, DVP/RVP, Prime Brokerage, and Mutual Funds.
- Liaise with stock exchanges, depositories, and regulators on operational matters.
Sales & Business Development
- Drive revenue growth through institutional and retail client acquisition.
- Build and maintain strong relationships with HNIs, FIIs, and institutional clients.
- Leverage banking sector insights to enhance cross-selling of investment products.
Risk & Governance
- Implement surveillance systems, risk assessments, and control measures.
- Analyze compliance gaps and develop mitigation strategies.
- Respond to audit queries and coordinate with regulators during inspections.
Team Leadership & Training
- Train management and employees on compliance, trading standards, and market regulations.
- Lead a high-performance team across sales, trading, and compliance verticals.
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Key Skills & Attributes:
- Strong knowledge of securities markets and compliance frameworks.
- Experience in managing broking/trading operations within banking or financial institutions.
- Regulatory knowledge and liaison experience with SEBI, NSE, BSE, CDSL.
- Excellent analytical, leadership, and stakeholder management skills.
- Proficiency in handling institutional and retail trading models.
Pay: ₹2,000,000.00 - ₹2,500,000.00 per year
Benefits:
- Health insurance
- Paid sick time
- Provident Fund
Work Location: In person
