Principal Officer, Institutional Equities at 1110 CLSA

About The Role

Expert knowledge of IFSCA regulatory framework and international trading norms.
Experience in trading on NSE IX and reporting of NLT Trades Experience of trading in India Equity Derivatives.
Ability to manage the revenue target for the GIFT branch. High ethical standards and ability to enforce compliance culture.
Strong analytical, reporting, and interpersonal communication skills.
Ability to lead the office from a local management standpoint and to represent the firm for regulatory matters.
Oversee order execution, technology, settlement, clearing processes and ensure client interests are protected.
Ensure adherence to all provisions of the IFSCA (Capital Market Intermediaries) Regulations, relevant exchange bye-laws, rules, and circulars.
Maintain and implement internal compliance manuals aligned with IFSCA requirements.
Monitor all activities of the broking firm to ensure compliance with PMLA, 2002 and Rules thereunder.
Ensure fit and proper status of the intermediary is always maintained.

Educational: Graduate in Finance, Commerce, Economics, Law, or related discipline.
Preferable: Postgraduate degree or professional qualifications (e.g., CA, CS, CFA, FRM).
Minimum years of experience: Minimum 10 years in capital markets, with at least 3 years at a SEBI/IFSCA registered intermediary.
Certification: NISM or any IFSCA or exchange-mandated certification/training for Principal Officers; AML training certification preferred.
No adverse findings from any regulator.
Not debarred from capital market operations Meets “fit and proper” criteria under IFSCA regulations.
Ability to converse in fluent English (written & Oral)
Serve as the contact for all communications with International Financial Services Centres Authority (IFSCA), Recognized IFSC exchanges and clearing corporations

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