Principal Officer

Company Description Northeast Broking Services Ltd. (Official) is one of the largest investment companies headquartered in Hyderabad, Telangana, with over 25 years of experience in helping clients manage and grow their financial portfolios. The company operates an extensive network across Telangana, Andhra Pradesh, Karnataka, Kerala, Maharashtra, Tamil Nadu, and is rapidly expanding across India. Northeast is a premier broking, trading, and clearing member for major exchanges, including BSE Cash and F&O, NSE Cash, NSE Currency, and F&O, and is a trading member with leading commodity exchanges such as NCDEX, MCX, and NSEL. It is also registered as a Depository Participant (DP) with NSDL and CDSL, and is recognized for its financial strength, stability, strong customer service, and operational excellence. The organization offers a professional environment with robust regulatory credentials, including SEBI registrations for exchanges and depository services.

Role Description The Principal Officer role is a full-time, on-site position based in Hyderabad, responsible for leading regulatory, compliance, and risk management functions within Northeast Broking Services Ltd. The Principal Officer oversees adherence to SEBI, exchange, and depository regulations, ensures robust internal controls, and monitors policies related to trading, broking, and depository operations. Day-to-day responsibilities include supervising compliance reporting, reviewing and updating standard operating procedures, coordinating with regulators and exchanges, and guiding internal teams on regulatory requirements. The role involves conducting regular audits and assessments, managing escalation of compliance issues, training staff on compliance practices, and supporting strategic decisions to maintain the firm's reputation for integrity and operational excellence. The Principal Officer also collaborates closely with senior management to implement governance frameworks and support business growth while maintaining high investor protection standards.

Qualifications

• Strong knowledge of securities markets, broking operations, and regulatory frameworks, including SEBI, BSE, NSE, NSDL, CDSL, and major commodity exchanges.
• Experience in compliance management, risk assessment, internal controls, and audit processes within financial services or capital markets.
• Proficiency in policy drafting, documentation, and reporting, with the ability to interpret and implement regulatory guidelines and circulars.
• Leadership and people management skills, including the ability to mentor teams, coordinate cross-functional stakeholders, and drive accountability.
• Excellent analytical, problem-solving, and decision-making abilities, with strong attention to detail and a high standard of professional integrity.
• Clear and effective communication skills, both written and verbal, for interaction with regulators, exchanges, depositories, internal teams, and clients.
• Relevant academic background such as a degree in Finance, Commerce, Economics, Business Administration, or a related discipline; professional certifications (e