Manages institutional broking operations for cash equities and derivatives, including trade support, booking, enrichment, reporting, reconciliations, settlements, accounting, collateral and margin movements. Oversees regulatory compliance, operational risk controls, audit support, client onboarding, static data, exposure limits, and operating procedures. Coordinates with trading desks, clients, compliance, clearing corporations, and IT teams on system changes, UAT, production support, and regional operations.
Key Areas of Responsibilities
- To lead and manage execution of BAU roles for Cash Equities NSE and BSE segments trade support, trade enrichments, trade booking, reporting and reconciliations
- Ownership and accountabilities for BAU roles and day to day regulatory reporting and compliances.
- Documentations and version maintenance of Operating procedures, risk management policies etc.
- Risk Management BAU implementation, monitoring and follow ups
- Ensure handling daily exposure trading limits applicable for clients, at stock and dealer level.
- Trade Accounting management, bank relationship, funds movements & reconciliations, posting of ledgers, fail trade monitoring
- Maintenance of Collaterals i.e. Cash, Government Securities, Listed Equities, Bank Guarantee etc,
- Support Trading desk across CLSA regions including in India to support pre & post trade activities.
- Ensure regulatory compliances and system alignments.
- Own and Client Margin movements of upstream and downstream on Exchange Clearing Corporations
- To co-ordinate with client on-boarding team and compliance team for empanelment reviews, account setup, UCC registration and reconciliations
- MIS reporting and Audit supports
- Regulatory circulars implementations and follow up with IT support teams for handling UAT and production supports
- Static data management of stocks, clients including commission deviations reconciliation and handling of Buy Back/OFS/IPO and QIP etc.
- Operational risk & controls monitoring, system developments including UAT etc.
- Regional Operations team support
Requirements
- Minimum 15-20 years of work experience in Institutional Broking Operations handling middle and back controls and reconciliations including Audit and compliance data support.
- Minimum Graduate Degree
- Having excellent understanding and working experience of trade support roles, regulatory compliances for trade reporting, market pre-matching and settlement of trades for cash market and F&O
- Analytical knowledge and very good in numbers
- Assess problem situations to identify causes, gather and process relevant information, generate possible solutions, and make recommendations and/or resolve the problem.
- Develop new and unique ways to improve operations of the organization and to create new opportunities.
- Work cooperatively and effectively with others to set goals, resolve problem, and make decisions that enhance organizational effectiveness.
- Proficiency of verbal and written communicationExcel and Word processing
- Application and Data base management
- Spreadsheets with formula, macro and pivot E-mail
- Internet outlook emails
- Usually work in an office environment but the purpose of immediate service to clients may sometimes work from home or non-standard work places
- Work in a standard work week with flexi shift timings but may be also required to work late hours or full shifts in absence of immediate colleague staff or back up in your own responsible area.
- Set priorities, develop a work schedule, monitor progress towards goals, and track details/data/information/activities.
- Assess situations to determine the importance, urgency and risks, and make clear decisions which are timely and in the best interests of the organization
Stay informed on CITIC CLSA Job Opportunities
Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.
Similar Jobs
Digital Media • eCommerce • Gaming • Mobile • News + Entertainment
Leads regional marketing operations and execution readiness across multi-market campaigns, content launches, partner activations, localization, and channel programs. Builds operating models, workflows, dashboards, launch plans, and quality frameworks; coordinates creative assets, approvals, vendors, partners, and cross-functional teams; identifies risks and improves delivery processes. This senior individual contributor ensures campaigns launch accurately, on time, and consistently across markets and time zones.
Digital Media • eCommerce • Gaming • Mobile • News + Entertainment
Leads content operations and launch readiness across Asia and MENA, managing localized content assets, metadata, subtitles, dubs, rights information, partner deliverables, vendors, and regional distribution workflows. Coordinates cross-functional teams, oversees quality control and operational reporting, resolves launch issues, and improves processes, dashboards, standards, and metrics across multiple markets and platforms.
Financial Services
Manages strategic programs and cross-functional projects within global Payments Operations. Responsibilities include project planning, governance, risk and dependency management, executive communications, dashboards, performance reporting, operational data analysis, process improvement, automation, and transformation initiatives. Partners with Operations, Product, Technology, Risk, Compliance, and Finance teams while maintaining firm-wide risk and control standards.
Top Skills:
AlteryxArtificial IntelligenceIntelligent AutomationExcelMicrosoft PowerpointPivot TablesPower BIPower QueryQlikTableau
What you need to know about the Mumbai Tech Scene
From haggling for the best price at Chor Bazaar to the bustle of Crawford Market, the energy of Mumbai's traditional markets is a key part of the city's charm. And while these markets will always have their place, the city also boasts a thriving e-commerce scene, ranking among the largest in the region. Driven by online sales in everything from snacks to licensed sports merchandise to children's apparel, the local industry is worth billions, with companies actively recruiting to meet the demands of continued growth.
