Chief Operations Officer - Broking

CHIEF OPERATIONS OFFICER (COO) - 12-15 years

LOCATION: AHMEDABAD

KRA:

- To manage complete back office operations including setting up processes and controls for all the market segments in equity, F&O, commodities & currency. Back office support will also be required for third party products like Mutual Funds, Insurance, FD etc.

- To manage overall functioning of the account opening process (KYC); depository operations; clearing and settlement of trades.

- To set up processes and put in place review systems for manual processes with key focus on process standardization & automation

- To implement policies and procedures for risk management (market and operational), surveillance, trade settlements, reconciliations and collateral management

- To handle all type of Audits and ensure that all regulatory requirements are complied with.

- To evaluate new products, solutions & technologies and get it implemented.

Key requirements

- Must have 12+ years of experience in the Financial Services Sector preferably in a Stock Broking Firm.

- Having thorough knowledge of compliance regulation with respect to Equity/ Commodities/ Currency/ Depository and other applicable regulatory guidelines.

- Must have necessary NISM Certifications.

Education Qualification - Post Graduation preferably in Finance. Candidates with CA/CS/ ICWA degree would be given preference.