Principal Officer, Institutional Equities

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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