The Role
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.
Summary Generated by Built In
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
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Skills Required
- 15–20 years of experience in institutional broking operations, including middle- and back-office controls, reconciliations, audit, and compliance data support
- Minimum graduate degree
- Experience with trade support, regulatory trade reporting, market pre-matching, and settlement for cash markets and futures and options
- Strong analytical skills and numerical proficiency
- Problem assessment, information processing, solution generation, and decision-making skills
- Ability to develop operational improvements and new opportunities
- Ability to collaborate effectively, set goals, resolve problems, and make decisions
- Proficiency in verbal and written communication
- Proficiency with Excel, Word processing, spreadsheets, formulas, macros, and pivot tables
- Application and database management skills
- Email, Outlook, and Internet proficiency
- Ability to work flexible shifts, late hours, or full shifts when required
- Ability to prioritize tasks, schedule work, monitor progress, and track operational data
- Ability to assess urgency and risk and make timely decisions
CLSA Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about CLSA and has not been reviewed or approved by CLSA.
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Pay Growth & Progression — Base pay for junior bankers was increased significantly in 2021 to stay competitive in a hot market. This indicates willingness to adjust compensation when talent risks rise.
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Healthcare Strength — Permanent staff are automatically enrolled in healthcare aligned to local markets, with added travel health and security support via International SOS. This points to solid core medical coverage with global-travel assistance.
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Retirement Support — Permanent staff are automatically enrolled in pension plans aligned to local markets. A group retirement plan is administered regionally, signaling formalized retirement benefits infrastructure.
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The Company
What We Do
CITIC CLSA is a wholly-owned subsidiary of CITIC Securities and its overseas business platform. Established in Hong Kong in 1986, CITIC CLSA is Asia’s leading capital markets and investment group, committed to driving the growth strategies of global institutional investors, corporations, governments and high-net-worth individuals. CITIC CLSA’s award-winning research, extensive Asia network, direct links to China and highly experienced financial professionals set CITIC CLSA apart from global investment banks and regional players. Over three decades, CITIC CLSA has built an extensive Asia network with deep local knowledge and connections. Globally, we operate from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit clsa.com
