Chief Financial Officer - Fintech

About Our Client

Our client is a growing a SEBI-registered broking firm based out of Gurugram

1. Financial Management:

• Oversee the preparation and accuracy of financial statements, ensuring compliance with SEBI, NSE, BSE, and other regulatory requirements.
• Lead financial planning and analysis, including budgeting, forecasting, margin reporting, and variance analysis.
• Manage P&L accounts, brokerage revenues, operational costs, and performance metrics specific to broking operations.

1. Regulatory Compliance:

• Ensure strict adherence to SEBI regulations, periodic filings, and reporting requirements.
• Liaise with regulatory bodies and auditors to ensure timely reporting and adherence to financial regulations.
• Maintain seamless relationships with NSE, BSE, and CDSL/NSDL for compliance related matters and inspections.
• Supervise daily and monthly reporting requirements, including submissions to clearing corporations and exchanges.

1. Risk Management:

• Monitor the firm's capital adequacy ratios and ensure liquidity management meets regulatory norms.
• Identify and mitigate operational, financial, and regulatory risks through robust internal controls.
• Implement risk assessment frameworks specific to trading, clearing, and settlement activities.

1. Strategic Planning:

• Develop and implement financial strategies aligned with the firm's business objectives and market positioning.
• Provide actionable insights into revenue generation, cost optimization, and scalability of broking operations.
• Partner with senior leadership to explore new investment avenues and optimize trading infrastructure.

1. Operational Oversight:

• Streamline operations for reconciliation, brokerage collection, payout processing, and fund transfers within broking platforms.
• Oversee clearing and settlement activities to ensure accuracy and timeliness.
• Evaluate and implement technological advancements to enhance financial efficiency.

1. Leadership and Team Development:

• Lead the finance team in compliance, operations, and client servicing functions within the broking domain.
• Train and mentor team members on broking-specific financial regulations, tools, and processes.
• Foster a high-performance culture focused on transparency, accountability, and continuous improvement.

1. Investor Relations:

• Build and maintain strong relationships with existing and potential investors, ensuring effective communication and transparency.
• Prepare and present financial reports, business updates, and growth plans to investors.
• Oversee fundraising efforts, including identifying potential funding sources and managing end-to-end investor engagements.
• Act as the primary point of contact for investor inquiries, ensuring confidence in the firm's financial health and strategic direction.

• Chartered Accountant (CA) or CFA is mandatory. An MBA in Finance from a reputed institute will be an added advantage. Professional Experience:
• 10+ years of progressive experience in financial management within the broking industry, with at least 5 years in a senior leadership role.
• Comprehensive knowledge of SEBI regulations, NSE/BSE operations, and compliance requirements specific to stockbroking firms.
• Proven experience in managing financial operations, including exchange operations, clearing and settlement, capital adequacy, and regulatory audits.

Technical Skills:

• Proficiency in broking-specific financial software (e.g., Omnesys, Neat, NOW, ODIN, etc.) and reporting tools.
• Advanced knowledge of T+1 settlement, STT, GST compliance, and brokerage management systems.
• Strong command of regulatory systems like XBRL, KYC platforms, and clearing corporation portals.

Key Competencies:

• Regulatory Expertise: Extensive knowledge of SEBI, NSE, BSE, CDSL/NSDL, and RBI guidelines.
• Analytical Skills: Ability to interpret financial data and provide strategic recommendations.
• Leadership Skills: Adept at building, leading, and managing finance teams within the broking environment.
• Attention to Detail: Ensure precision in compliance, reporting, and risk mitigation.
• Strategic Vision: Develop long-term strategies that align with organizational goals and market trends

• An attractive salary package.
• A vibrant and inclusive company culture in the Financial Services industry.
• Comprehensive healthcare and retirement benefits.
• Opportunities for professional development and networking.
• Flexible work arrangements and paid leave policy.

We invite all suitable candidates to apply for this exciting opportunity in the heart of the financial industry.