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;
• Analytica
📌 Manager, Operations (Mumbai)
🏢 CLSA
📍 Mumbai