Head of Operations- Broking

Role: Head of Operations Broking

Location: Mumbai

CTC: Up to 60 LPA

A leading Global Wealth Management Group is seeking an experienced Head of Operations to lead and manage end-to-end Broking & Wealth Operations. The role will be responsible for operational excellence trade settlements regulatory compliance audit governance process automation and team leadership across Capital Markets and Wealth Management operations.

Key Responsibilities:

• Lead end-to-end Broking Wealth Management PMS Mutual Fund and Capital Market Operations.
• Oversee Equity Currency Derivatives IPO Bonds NCDs Fixed Deposits SGB and NRI Settlement Operations.
• Manage trade processing settlements reporting accounting and reconciliations across HNI NRI and Corporate segments.
• Drive operational excellence through process automation digitization and continuous improvement initiatives.
• Ensure regulatory compliance and audit readiness for internal exchange depository and regulatory audits.
• Liaise with Exchanges Depositories Custodians Auditors and Regulatory Bodies.
• Lead vendor management system enhancements UAT testing and back-office platform migrations.
• Strengthen risk management frameworks governance controls and operational efficiency.
• Build mentor and lead high-performing operations teams while driving stakeholder engagement.

Candidate Profile:

• 15 years of experience in Broking Capital Markets Wealth Management or Securities Operations.
• Strong expertise in Trade Settlements DP Operations PMS Mutual Funds and Wealth Operations.
• Proven experience in managing large operations teams and driving transformation initiatives.
• Strong understanding of SEBI Exchange Depository and Regulatory Compliance frameworks.
• Experience handling internal regulatory and exchange audits.
• Knowledge of trading back-office platforms DP systems and operational controls.
• NISM VII (Securities Operations & Risk Management) is mandatory.
• NISM VI (Depository Operations) will be an added advantage.
• MBA / Commerce Graduate preferred.

Interested candidates can share their updated CV at:

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