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Head Business Development

Kochi +

Job Description

We are looking for a strategic and result-driven Business Head to lead business operations, drive revenue growth, and expand market presence in the stock broking segment. The role requires strong leadership, deep market knowledge, and the ability to scale teams and business performance.

Key Responsibilities

Drive overall business growth across B2B & B2C managements
Develop and execute strategic plans to increase revenue and market share
Lead and manage Business Development team
Monitor performance metrics, targets, and profitability across regions
Identify new business opportunities, partnerships, and expansion plans
Ensure compliance with regulatory norms (SEBI, exchange guidelines)
Strengthen client acquisition and retention strategies
Collaborate with research, operations, and Branches/Channels for business enhancement
Provide leadership, training, and mentorship to teams

Ideal Candidate

Graduate/Postgraduate in Finance, Commerce, Business Administration, or a related field
8–12 years of experience in business development, sales, or client acquisition within stock broking/wealth management/financial services
Strong expertise in B2B & B2C business development and revenue growth
Proven leadership and team management capabilities
Strong market intelligence and analytical skills
Excellent communication, negotiation, and interpersonal skills
Good understanding of regulatory and compliance frameworks
Strategic thinker with a results-driven approach
Execution-focused mindset

Research Analyst

Cochin, Kerala +

Job Description

We are looking for a SEBI-Registered Research Analyst to lead and independently drive our equity research function in a growing regional brokerage setup. This is a hands-on leadership role suited for someone who can generate actionable ideas, support sales/dealing teams, and ensure strong regulatory compliance in a lean team environment.

Key Responsibilities

Generate daily/weekly equity trading & investment ideas
Prepare research notes, earnings updates & model portfolios
Support retail & HNI clients with actionable recommendations
Work closely with dealers & RMs for client engagement
Lead & mentor junior analysts (small team setup)
Ensure compliance with SEBI (Research Analyst) Regulations

Ideal Candidate

SEBI Registered Research Analyst
NISM-Series XV certified (valid)
6–10 years of equity research/advisory experience
Strong fundamental & technical analysis skills
Experience working in broking/PMS/advisory setup
Practical, execution-focused mindset

What We Offer

Leadership role in a growing brokerage
High visibility and business impact
Opportunity to build and scale the research desk
If you are passionate about markets and want to build a strong regional research franchise, we would love to connect.

Business Development Officers

Cochin, Kerala +

Job Description

We are looking for dynamic and result-oriented Business Development Officers to drive B2B and B2C customer acquisition and retention for our growing stock broking business. This role suited for individuals who can build strong client relationships, generate business opportunities, and contribute to overall revenue growth and who can work in a challenging environment.

Key Responsibilities

Drive B2B & B2C customer acquisition through various channels including field sales, references, and networking
Focus driven action to increase revenue and market share for one or more products (Equity, Derivatives, Commodities, Mutual Funds).
Identify new business opportunities, partnerships, and expansion plans
Ensure compliance with regulatory norms (SEBI, exchange guidelines)
Collaborate with research, operations, and product teams for business enhancement

Ideal Candidate

Graduate in any discipline (Finance/Commerce preferred)
3-6 years of experience in business development, sales, or client acquisition in financial services & Stock Broking industry
Strong ability in customer acquisition, retention, and relationship management
Experience in handling B2B and B2C clients is preferred
Good communication, negotiation, and interpersonal skills
Basic knowledge of financial markets is an added advantage
Must hold a valid NISM certification relevant to trading and market operations (e.g., Equity Derivatives, Currency Derivatives, Mutual Fund or Securities Markets).
Self-driven, self-motivated,execution-focused mindset

What We Offer

Opportunity to work with a growing stock broking company
Attractive incentives and performance-based earnings
Training and exposure to financial markets
Career growth and advancement opportunities

Branch Manager / Assistant Branch Manager

Mumbai / Kerala +

Job Description

We are seeking an experienced and dynamic Branch Manager to lead our stock broking branch operations. The ideal candidate will be responsible for driving business growth, managing client relationships, and ensuring compliance with regulatory standards.

Key Responsibilities

Oversee day-to-day operations of the branch
Drive revenue growth by acquiring new clients and expanding existing relationships
Lead, train, and motivate the relationship dealer team
Ensure high levels of client satisfaction and retention
Ensure compliance with all regulatory requirements (SEBI, exchange norms, etc.)
Achieve branch sales targets and profitability goals
Coordinate with head office for smooth functioning and reporting

Ideal Candidate

Graduate/Postgraduate in Business Administration, Finance, or a related field
Minimum 5+ years of experience in financial services with stock broking or capital markets sector
Strong leadership and team management skills
Proven track record in sales, business development, and revenue generation
Good understanding of equity markets and financial products
Strong communication, negotiation, and interpersonal skills
Knowledge of compliance and regulatory frameworks
Must hold a valid NISM certification relevant to trading and market operations (e.g., Equity Derivatives, Currency Derivatives, Mutual Fund or Securities Markets).

What We Offer

Career growth and leadership development opportunities
Dynamic and performance-driven work environment
Attractive incentives and performance-based rewards

Relationship Managers

Across Kerala / Mumbai +

Job Description

We are looking for a proactive and client-focused Relationship Manager to build and maintain strong relationships with clients in the stock broking segment. The role involves client acquisition, advisory support, and revenue generation through trading and investment products.

Key Responsibilities

Acquire new clients for equity, derivatives, and other financial products
Maintain and grow relationships with existing clients
Assist clients with trading, portfolio updates, and investment ideas as a dealer
Generate brokerage through active client engagement
Cross-sell products like mutual funds, IPOs, insurance, etc.
Ensure high levels of client satisfaction and prompt query resolution
Adhere to regulatory and compliance guidelines

Ideal Candidate

Graduate or Post Graduate in Business Administration, Finance, Commerce, or a related field
1–3 years of experience in sales, client servicing, or financial services
Fresh graduates (BBA/B.Com) with a strong interest in financial markets may also apply
Strong client relationship management and communication skills
Good understanding of equity markets, financial products, and market trends
Strong market awareness with the ability to track and interpret market movements
Good negotiation and interpersonal skills
Target-driven and customer-focused approach
NISM-certified in relevant market segments (Equity, Derivatives, Currency,Mutual Fund or Securities Markets).

Brand Marketing Executive

Cochin, Kerala +

Job Description

We are looking for a creative and result-oriented Brand Marketing Executive to drive our branding and digital marketing initiatives in a growing stock broking setup. This is a hands-on role suited for someone who can execute impactful campaigns, enhance brand visibility, and support business growth through effective marketing strategies.

Key Responsibilities

Create and deliver engaging communication for customers, prospects, and target audiences
Develop content for email marketing, social media, banners, posters, and brochures
Write, edit, and regularly update website and digital content
Manage and schedule social media posts and campaigns across platforms
Execute digital marketing campaigns to improve reach and engagement
Perform SEO optimization for website and blog content
Support branding initiatives with a strong understanding of media, advertising, and PR
Assist the marketing team with creatives, tools, and campaign materials
Co-ordinate with external agencies/media

Ideal Candidate

Graduate or Post Graduate
1–3 years of experience in brand marketing/digital marketing/content creation
Strong content writing and creative skills
Good understanding of digital marketing tools and social media platforms
Basic knowledge of SEO and online marketing strategies
Creative, proactive, and detail-oriented mindset

What We Offer

Opportunity to work with a growing stock broking company
Exposure to end-to-end marketing and branding activities
Hands-on experience in digital and performance marketing
Collaborative and growth-oriented work environment

Executive - Compliance

Cochin, Kerala +

Job Description

We are looking for a detail-oriented and responsible Compliance Assistant to ensure adherence to regulatory requirements across our stock broking, depository participant, research analyst, and merchant banking operations. This role is ideal for individuals with strong knowledge of capital market regulations and a proactive approach to compliance monitoring and reporting.

Key Responsibilities

Ensure continuous compliance with SEBI regulations, circulars and guidelines applicable to Stock Broking, Depository Participant, Research Analyst and Merchant Banking activities.
Ensure compliance with KYC, AML/CFT and client onboarding requirements.
Monitor Depository Participant operations, and prepare documents for submissions to NSDL/CDSL.
Authorised Person registrations/ AP compliances and CTCL activation/modification operations.
Ensure compliance with Research Analyst regulations, including disclosures, conflict-of-interest management and personal trading controls.
Ensure compliance with Merchant Banking regulations, including due diligence, disclosures, issue documentation and SEBI filings.
Monitor and act upon Early Warning System (EWS) alerts, operational risks and compliance deviations.
Coordinate and support SEBI, Exchange, Depository and internal audits/inspections, including closure of observations.
Maintain compliance records, policies, SOPs, regulatory filings and Board / Committee compliance reporting.
Prepare and submit regulatory filings, certifications, MIS and Board / Committee compliance reports.

Ideal Candidate

B. Com / LLB / Post Graduate (Freshers may also apply)
1–3 years of experience in compliance within capital markets
Proficiency in MS Excel and MS Word for MIS, reporting, and documentation
Strong analytical, documentation, and communication skills
Detail-oriented, organized, and able to handle regulatory deadlines effectively

What We Offer

Opportunity to work in a dynamic and regulated financial environment
Exposure to multi-segment compliance (Broking, DP, RA, Merchant Banking)
Learning and growth opportunities in capital market regulations

Ready to Build Your Career?

Send your updated resume to career@vertexbroking.com

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Sr.No	Guidance
i	Always deal with a SEBI registered Depository Participant for opening a demat account.
ii	Read all the documents carefully before signing them.
iii	Before granting Power of attorney to operate your demat account to an intermediary like Stock Broker, Portfolio Management Services (PMS) etc., carefully examine the scope and implications of powers being granted.
iv	Always make payments to registered intermediary using banking channels. No payment should be made in name of employee of intermediary.
v	Accept the Delivery Instruction Slip (DIS) book from your DP only (pre-printed with a serial number along with your Client ID) and keep it in safe custody and do not sign or issue blank or partially filled DIS slips. Always mention the details like ISIN, number of securities accurately. In case of any queries, please contact your DP or broker and it should be signed by all demat account holders. Strike out any blank space on the slip and Cancellations or corrections on the DIS should be initialed or signed by all the account holder(s). Do not leave your instruction slip book with anyone else. Do not sign blank DIS as it is equivalent to a bearer cheque.
vi	Inform any change in your Personal Information (for example address or Bank Account details, email ID, Mobile number) linked to your demat account in the prescribed format and obtain confirmation of updation in system
vii	Mention your Mobile Number and email ID in account opening form to receive SMS alerts and regular updates directly from depository.
viii	Always ensure that the mobile number and email ID linked to your demat account are the same as provided at the time of account opening/updation.
ix	Do not share password of your online trading and demat account with anyone.
x	Do not share One Time Password (OTP) received from banks, brokers, etc. These are meant to be used by you only.
xi	Do not share login credentials of e-facilities provided by the depositories such as e-DIS/demat gateway, SPEED-e/easiest etc. with anyone else.
xii	Demat is mandatory for any transfer of securities of Listed public limited companies.
xiii	If you have any grievance in respect of your demat account, please write to designated email IDs of depositories or you may lodge the same with SEBI online at https://scores.sebi.gov.in
xiv	Keep a record of documents signed, DIS issued and account statements received.
xv	As Investors you are required to verify the transaction statement carefully for all debits and credits in your account. In case of any unauthorized debit or credit, inform the DP or your respective Depository.
	Appoint a nominee to facilitate your heirs in obtaining the securities in your demat account, on completion of the necessary procedures
xvii	Register for Depository's internet based facility or download mobile app of the depository to monitor your holdings.
xviii	Ensure that, both, your holding and transaction statements are received periodically as instructed to your DP. You are entitled to receive a transaction statement every month if you have any transactions.
xix	Do not follow herd mentality for investments. Seek expert and professional advice for your investments
xx	Beware of assured/fixed returns.

Sr.No

Guidance

Always deal with a SEBI registered Depository Participant for opening a demat account.

Read all the documents carefully before signing them.

iii

Before granting Power of attorney to operate your demat account to an intermediary like Stock Broker, Portfolio Management Services (PMS) etc., carefully examine the scope and implications of powers being granted.

Always make payments to registered intermediary using banking channels. No payment should be made in name of employee of intermediary.

Accept the Delivery Instruction Slip (DIS) book from your DP only (pre-printed with a serial number along with your Client ID) and keep it in safe custody and do not sign or issue blank or partially filled DIS slips.

Always mention the details like ISIN, number of securities accurately. In case of any queries, please contact your DP or broker and it should be signed by all demat account holders.

Strike out any blank space on the slip and Cancellations or corrections on the DIS should be initialed or signed by all the account holder(s).

Do not leave your instruction slip book with anyone else.

Do not sign blank DIS as it is equivalent to a bearer cheque.

Inform any change in your Personal Information (for example address or Bank Account details, email ID, Mobile number) linked to your demat account in the prescribed format and obtain confirmation of updation in system

vii

Mention your Mobile Number and email ID in account opening form to receive SMS alerts and regular updates directly from depository.

viii

Always ensure that the mobile number and email ID linked to your demat account are the same as provided at the time of account opening/updation.

Do not share password of your online trading and demat account with anyone.

Do not share One Time Password (OTP) received from banks, brokers, etc. These are meant to be used by you only.

Do not share login credentials of e-facilities provided by the depositories such as e-DIS/demat gateway, SPEED-e/easiest etc. with anyone else.

xii

Demat is mandatory for any transfer of securities of Listed public limited companies.

xiii

If you have any grievance in respect of your demat account, please write to designated email IDs of depositories or you may lodge the same with SEBI online at https://scores.sebi.gov.in

xiv

Keep a record of documents signed, DIS issued and account statements received.

As Investors you are required to verify the transaction statement carefully for all debits and credits in your account. In case of any unauthorized debit or credit, inform the DP or your respective Depository.

Appoint a nominee to facilitate your heirs in obtaining the securities in your demat account, on completion of the necessary procedures

xvii

xviii

Ensure that, both, your holding and transaction statements are received periodically as instructed to your DP. You are entitled to receive a transaction statement every month if you have any transactions.

xix

Do not follow herd mentality for investments. Seek expert and professional advice for your investments

Beware of assured/fixed returns.

i	Receive a copy of KYC, copy of account opening documents
ii	No minimum balance is required to be maintained in a demat account.
iii	No charges are payable for opening of demat accounts.
iv	If executed, receive a copy of Power of Attorney. However, Power of Attorney is not a mandatory requirement as per SEBI / Stock Exchanges. You have the right to revoke any authorization given at any time.
v	You can open more than one demat account in the same name with single DP/ multiple DPs
vi	Receive statement of accounts periodically. In case of any discrepancies in statements, take up the same with the DP immediately. If the DP does not respond, take up the matter with the Depositories.
vii	Pledge and /or any other interest or encumbrance can be created on demat holdings.
viii	Right to give standing instructions with regard to the crediting of securities in demat account.
ix	Investor can exercise its right to freeze/defreeze his/her demat account or specific securities / specific quantity of securities in the account, maintained with the DP.
x	In case of any grievances, Investor has right to approach Participant or Depository or SEBI for getting the same resolved within prescribed timelines.
xi	Every eligible investor shareholder has a right to cast its vote on various resolutions proposed by the companies for which Depositories have developed an internet based ‘e-Voting’ platform.
xii	Receive information about charges and fees. Any charges/tariff agreed upon shall not increase unless a notice in writing of not less than thirty days is given to the Investor.
xiii	Right to indemnification for any loss caused due to the negligence of the Depository or the participant.
xiv	Right to opt out of the Depository system in respect of any security.

(a)	Always abide by the provisions of the SEBI Act, 1992 Depositories Act, 1996, any Rules or Regulations framed thereunder, circulars, guidelines and any other directions issued by the Board from time to time.
(b)	Adopt appropriate due diligence measures.
(c)	Take effective measures to ensure implementation of proper risk management framework and good governance practices.
(d)	Take appropriate measures towards investor protection and education of investors.
(e)	Treat all its applicants/members in a fair and transparent manner.
(f)	Promptly inform SEBI of violations of the provisions of the SEBI Act, 1992 the Depositories Act, 1996, rules, regulations, circulars, guidelines or any other directions by any of its issuer or issuer’s agent.
(g)	Take a proactive and responsible attitude towards safeguarding the interests of investors, integrity of depository’s systems and the securities market.
(h)	Endeavor for introduction of best business practices amongst itself and its members.
(i)	act in utmost good faith and shall avoid conflict of interest in the conduct of its functions.
(j)	not indulge in unfair competition, which is likely to harm the interests of any other Depository, their participants or investors or is likely to place them in a disadvantageous position while competing for or executing any assignment.
(j)	(k) segregate roles and responsibilities of key management personnel within the depository including a. Clearly mapping legal and regulatory duties to the concerned position b. Defining delegation of powers to each position c. Assigning regulatory, risk management and compliance aspects to business and support teams
(l)	be responsible for the acts or omissions of its employees in respect of the conduct of its business.
(m)	monitor the compliance of the rules and regulations by the participants and shall further ensure that their conduct is in a manner that will safeguard the interest of investors and the securities market.

(1)	A participant shall make all efforts to protect the interests of investors.
(2)	A participant shall always endeavour to— (a) render the best possible advice to the clients having regard to the client’s needs and the environments and his own professional skills; (b) ensure that all professional dealings are effected in a prompt, effective and efficient manner; (c) inquiries from investors are adequately dealt with; (d) grievances of investors are redressed without any delay.
(3)	A participant shall maintain high standards of integrity in all its dealings with its clients and other intermediaries, in the conduct of its business.
(4)	A participant shall be prompt and diligent in opening of a beneficial owner account, dispatch of the dematerialisation request form, rematerialisation request form and execution of debit instruction slip and in all the other activities undertaken by him on behalf of the beneficial owners.
(5)	A participant shall endeavour to resolve all the complaints against it or in respect of the activities carried out by it as quickly as possible, and not later than one month of receipt.
(6)	A participant shall not increase charges/fees for the services rendered without proper advance notice to the beneficial owners.
(7)	7. A participant shall not indulge in any unfair competition, which is likely to harm the interests of other participants or investors or is likely to place such other participants in a disadvantageous position while competing for or executing any assignment.
(8)	A participant shall not make any exaggerated statement whether oral or written to the clients either about its qualifications or capability to render certain services or about its achievements in regard to services rendered to other clients.
(9)	A participant shall not divulge to other clients, press or any other person any information about its clients which has come to its knowledge except with the approval/authorisation of the clients or when it is required to disclose the information under the requirements of any Act, Rules or Regulations.
(10)	A participant shall co-operate with SEBI as and when required.
(11)	A participant shall maintain the required level of knowledge and competency and abide by the provisions of the Act, Rules, Regulations and circulars and directions issued by the Board. The participant shall also comply with the award of the Ombudsman passed under the Securities and Exchange Board of India (Ombudsman) Regulations, 2003.
(12)	A participant shall not make any untrue statement or suppress any material fact in any documents, reports, papers or information furnished to SEBI.
(13)	A participant shall not neglect or fail or refuse to submit to SEBI or other agencies with which it is registered, such books, documents, correspondence, and papers or any part thereof as may be demanded/requested from time to time.
(14)	A participant shall ensure that SEBI is promptly informed about any action, legal proceedings, etc., initiated against it in respect of material breach or non- compliance by it, of any law, Rules, regulations, directions of the Board or of any other regulatory body.
(15)	A participant shall maintain proper inward system for all types of mail received in all forms.
(16)	A participant shall follow the maker—checker concept in all of its activities to ensure the accuracy of the data and as a mechanism to check unauthorised transaction.
(17)	A participant shall take adequate and necessary steps to ensure that continuity in data and record keeping is maintained and that the data or records are not lost or destroyed. It shall also ensure that for electronic records and data, up- to- date back up is always available with it.
(18)	A participant shall provide adequate freedom and powers to its compliance officer for the effective discharge of his duties.
(19)	A participant shall ensure that it has satisfactory internal control procedures in place as well as adequate financial and operational capabilities which can be reasonably expected to take care of any losses arising due to theft, fraud and other dishonest acts, professional misconduct or omissions.
(20)	A participant shall be responsible for the acts or omissions of its employees and agents in respect of the conduct of its business.
(21)	A participant shall ensure that the senior management, particularly decision makers have access to all relevant information about the business on a timely basis.
(22)	A participant shall ensure that good corporate policies and corporate governance are in place.

Join Our Team

Head Business Development

Research Analyst

What We Offer

Business Development Officers

What We Offer

Branch Manager / Assistant Branch Manager

What We Offer

Relationship Managers

Brand Marketing Executive

What We Offer

Executive - Compliance

What We Offer

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