CITIC CLSA

Asia-focused capital markets and investment group

Principal Officer - Institutional Equities

Sales & TradingConfirmed live in the last 24 hours

Full-timeIndiaNo salary listedIn-person

About the Job

Requirements

Graduate degree in Finance, Commerce, Economics, Law, or a related discipline.
At least 10 years of experience in capital markets, including at least 3 years at a SEBI- or IFSCA-registered intermediary.
No adverse findings from any regulator.
Not debarred from capital market operations and must meet the fit-and-proper criteria under IFSCA regulations.
Fluent written and spoken English.
NISM or any IFSCA- or exchange-mandated certification or training for Principal Officers.

Responsibilities

Manage the GIFT branch revenue target while maintaining high ethical standards and enforcing a compliance culture.
Lead the office from a local management standpoint and represent the firm in regulatory matters.
Oversee order execution, technology, settlement, and clearing processes, ensuring client interests are protected.
Ensure adherence to IFSCA Capital Market Intermediaries Regulations, relevant exchange bye-laws, rules, and circulars.
Maintain and implement internal compliance manuals aligned with IFSCA requirements.
Monitor all broking firm activities for compliance with PMLA 2002 and its rules.
Ensure the intermediary's fit-and-proper status is maintained.
Serve as the contact for communications with IFSCA, recognized IFSC exchanges, and clearing corporations.

Desired Qualifications

Postgraduate degree or professional qualification such as CA, CS, CFA, or FRM.
AML training certification.

Key Areas of Responsibilities

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.

Requirements

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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About the Company

CITIC CLSA

Asia-focused capital markets and investment group

CITIC CLSA provides capital markets and investment services in Asia and beyond, supporting global institutional investors, corporations, governments, and high-net-worth individuals. The company uses its award-winning research, extensive Asia network, and direct links to China to help clients access and invest in Asian markets. Its team operates across 13 countries in Asia, Australia, Europe, and the Americas, combining local knowledge with international reach. This mix helps clients execute deals, conduct in-depth market analysis, and grow their investment portfolios through China and Asia-focused opportunities. What sets CITIC CLSA apart is its deep regional network and China connections, which contrast with broader global banks and smaller regional firms. The goal is to enable clients to grow by leveraging Asia’s markets and China’s opportunities through expert advisory, research, and execution across the globe.

Company size: 1,001-5,000
Company stage: Not listed
Total funding: $834.9M
Headquarters: Central and Western District, Hong Kong
Founded: 1986

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CITIC CLSA

Principal Officer - Institutional Equities

About the Job

Requirements

Responsibilities

Desired Qualifications

Key Areas of Responsibilities

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.

Requirements

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

About the Company

CITIC CLSA

Recently Posted Jobs