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* Ensure all operational activities adhere strictly to SEBI regulations, exchange bye-laws, PMLA guidelines, and other relevant statutes.
* Regularly review and update internal operational policies and procedures to align with evolving regulatory requirements and industry best practices.
* Oversee daily operational checks to ensure compliance across all trading segments (Equity, Derivatives, Commodities, Currency).
* Implementation of new Compliances in Operations:
* Proactively identify, interpret, and implement new regulatory guidelines and circulars issued by SEBI, Exchanges, and other authorities that impact operations.
* Develop and execute comprehensive action plans for the seamless integration of new compliance requirements into existing operational workflows and systems.
* Communicate changes effectively to relevant teams and provide necessary training.
* Regulatory Compliance & Reporting:
* Prepare and submit accurate and timely regulatory reports to SEBI, Exchanges (NSE, BSE, MCX, NCDEX), CDSL/NSDL, and other relevant bodies.
* Liaise with internal compliance teams to ensure synergy between operational practices and overall compliance framework.
* Maintain meticulous records of all regulatory submissions and communications.
* Develop, implement, and monitor robust internal controls to mitigate operational risks, including but not limited to fraud, error, system failures, and data breaches.
* Conduct regular risk assessments of operational processes and identify potential vulnerabilities.
* Establish and monitor key risk indicators (KRIs) and implement corrective actions as needed.
* Oversee the management of client complaints and grievances, ensuring timely and effective resolution in compliance with regulatory guidelines.
* Corporate Governance:
* Adhere to the highest standards of corporate governance in all operational dealings.
* Ensure transparency and accountability in operational decision-making.
* Contribute to the development and enforcement of ethical conduct within the operations team.
* Regulatory Relationship Management:
* Act as a key point of contact for regulatory authorities concerning operational matters.
* Represent the firm effectively during regulatory inspections, audits, and inquiries.
* Maintain a constructive and proactive relationship with regulators.
* Documentation & Process Implementation:
* Develop, standardize, and maintain comprehensive documentation for all operational processes, workflows, and procedures (SOPs).
* Ensure all operational activities are performed in accordance with documented procedures.
* Continuously review and optimize operational processes for efficiency, accuracy, and scalability.
* Audit Coordination:
* Coordinate effectively with internal and external auditors for operational audits, regulatory audits, and system audits.
* Provide necessary documentation and explanations to auditors.
* Ensure timely implementation of audit recommendations and remediation of identified deficiencies.
* Oversee the efficient and compliant management of client collateral (securities and funds) as per regulatory norms.
* Ensure accurate valuation, reporting, and utilization of collateral for various segments.
* Implement robust controls to prevent misuse or unauthorized pledging of client assets.
* Collaborate with the IT department to identify, evaluate, and implement new technologies and automation solutions to enhance operational efficiency, accuracy, and compliance.
* Oversee the UAT (User Acceptance Testing) of new systems and functionalities.
* Drive initiatives for process automation and digital transformation within operations.
* Ensure the smooth functioning of trading platforms, back-office systems, and other operational software.
Jainam Broking Limited
* 1 month ago
Location
Head Office
Department
Operations - JBL
Employment Type
Full-time
Applications Received
0
Closes On
25 Aug, 2025
Key Responsibilities
* Operation related Compliance:
* Ensure all operational activities adhere strictly to SEBI regulations, exchange bye-laws, PMLA guidelines, and other relevant statutes.
* Regularly review and update internal operational policies and procedures to align with evolving regulatory requirements and industry best practices.
* Oversee daily operational checks to ensure compliance across all trading segments (Equity, Derivatives, Commodities, Currency).
* Implementation of new Compliances in Operations:
* Proactively identify, interpret, and implement new regulatory guidelines and circulars issued by SEBI, Exchanges, and other authorities that impact operations.
* Develop and execute comprehensive action plans for the seamless integration of new compliance requirements into existing operational workflows and systems.
* Communicate changes effectively to relevant teams and provide necessary training.
* Regulatory Compliance & Reporting:
* Prepare and submit accurate and timely regulatory reports to SEBI, Exchanges (NSE, BSE, MCX, NCDEX), CDSL/NSDL, and other relevant bodies.
* Liaise with internal compliance teams to ensure synergy between operational practices and overall compliance framework.
* Maintain meticulous records of all regulatory submissions and communications.
* Risk Management & Internal Controls:
* Develop, implement, and monitor robust internal controls to mitigate operational risks, including but not limited to fraud, error, system failures, and data breaches.
* Conduct regular risk assessments of operational processes and identify potential vulnerabilities.
* Establish and monitor key risk indicators (KRIs) and implement corrective actions as needed.
* Oversee the management of client complaints and grievances, ensuring timely and effective resolution in compliance with regulatory guidelines.
* Corporate Governance:
* Adhere to the highest standards of corporate governance in all operational dealings.
* Ensure transparency and accountability in operational decision-making.
* Contribute to the development and enforcement of ethical conduct within the operations team.
* Regulatory Relationship Management:
* Act as a key point of contact for regulatory authorities concerning operational matters.
* Represent the firm effectively during regulatory inspections, audits, and inquiries.
* Maintain a constructive and proactive relationship with regulators.
* Documentation & Process Implementation:
* Develop, standardize, and maintain comprehensive documentation for all operational processes, workflows, and procedures (SOPs).
* Ensure all operational activities are performed in accordance with documented procedures.
* Continuously review and optimize operational processes for efficiency, accuracy, and scalability.
* Audit Coordination:
* Coordinate effectively with internal and external auditors for operational audits, regulatory audits, and system audits.
* Provide necessary documentation and explanations to auditors.
* Ensure timely implementation of audit recommendations and remediation of identified deficiencies.
* Collateral Management:
* Oversee the efficient and compliant management of client collateral (securities and funds) as per regulatory norms.
* Ensure accurate valuation, reporting, and utilization of collateral for various segments.
* Implement robust controls to prevent misuse or unauthorized pledging of client assets.
* Technology Implementation:
* Collaborate with the IT department to identify, evaluate, and implement new technologies and automation solutions to enhance operational efficiency, accuracy, and compliance.
* Oversee the UAT (User Acceptance Testing) of new systems and functionalities.
* Drive initiatives for process automation and digital transformation within operations.
* Ensure the smooth functioning of trading platforms, back-office systems, and other operational software.
Qualifications & Experience
* Bachelor's degree in Finance, Business Administration, or a related field. Master's degree or professional certifications (e.g.,1 NISM certifications) preferred.
* 5+ years of progressive experience in Operations within a SEBI-registered stock broking firm.
* In-depth knowledge of Indian capital market regulations (SEBI, Exchanges, Depositories) and operational best practices.
* Proven track record of successful regulatory compliance and risk management.
* Strong understanding of various financial products and trading segments.
* Experience with back-office software and trading platforms commonly used in stock broking.
* Excellent analytical, problem-solving, and decision-making skills.
* Strong leadership, team management, and interpersonal skills.
* Exceptional communication2 (written and verbal) and presentation abilities.
* Ability to work effectively under pressure and manage multiple priorities.
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Management and Manufacturing
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