Deputy Vice President

About the CompanyJainam Broking Limited is a fast-growing financial services organisation delivering comprehensive investment and wealth management solutions across India. With a strong foundation of trust, innovation, and client-centricity, Jainam continues to expand its presence in the capital markets ecosystem.About the RoleWe are seeking a Deputy Vice President – Regulatory (Operations & Compliance Core) who will lead and strengthen the organisation’s regulatory governance and compliance framework across all business segments. This role will be responsible for ensuring end-to-end regulatory adherence across Equity, Derivatives, Currency, Commodity, and Depository segments, while proactively managing inspections, audits, and risk controls. The position requires deep expertise in broking operations, regulatory interpretation, and enterprise compliance management.ResponsibilitiesStrategic Regulatory LeadershipLead regulatory governance framework across all trading and DP segmentsInterpret regulatory circulars and translate them into operational SOPsProvide advisory support to senior leadership on regulatory risk exposureDrive proactive compliance monitoring and preventive control mechanismsOperations & Compliance OversightEnsure end-to-end supervision of compliance across:Client onboarding (KYC, CKYC, AML, PMLA compliance)Margin framework (Peak margin, ELM, VAR, MTM reporting)Pledge / Re-pledge mechanismsFunds & securities reconciliation (Client & Proprietary segregation)Enhanced Supervision monitoringTrade surveillance coordinationInvestor grievance redressalDormant account monitoringAlgorithmic & API trading compliance (if applicable)Regulatory Reporting & FilingsEnsure timely and accurate submission of all regulatory reportsOversee margin reporting, enhanced supervision reporting, and client funding disclosuresSupervise internal audit, system audit, and cyber security compliance submissionsValidate and certify regulatory MIS prior to submissionInspection & Audit ManagementLead SEBI, Exchange, and Depository inspections end-to-endInterface with regulators during onsite/offsite inspectionsManage forensic audits and special regulatory reviewsEnsure timely closure of audit observationsMaintain audit-ready documentation repositoryRisk & Control StrengtheningDesign and implement operational and compliance risk frameworksConduct periodic compliance health checksIdentify systemic gaps and implement preventive controlsDrive automation in compliance reporting processesDevelop compliance dashboards for leadership reviewStakeholder & Leadership ManagementPartner with Risk, Technology, Finance, RMS, and Business teamsPresent compliance updates to Board / Risk CommitteeMentor and develop compliance managersConduct regulatory training programs for operations teamsQualifications15–18 years of experience in Stock Broking / Capital Markets compliance & operationsStrong command over SEBI and Exchange regulatory frameworkDeep understanding of broking operational workflowsProven experience handling regulatory inspections and auditsStrong analytical, documentation, and governance skillsHigh ethical standards and regulatory sensitivityAbility to influence and collaborate across functionsRequired SkillsCA / CS / MBA (Finance) / LLB preferredMandatory NISM certifications as applicableAdditional certifications in Risk / Compliance preferredPreferred SkillsExperience in a large retail/ discount broking firmExposure to high-frequency/algorithmic trading complianceStrong knowledge of RMS systems & back-office platformsExperience handling multi-exchange membership structures

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