Deputy Manager

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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 levelMid-Senior level

Employment type

• Employment typeFull-time

Job function

• Job functionManagement and Manufacturing

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