Principal Officer, Institutional Equities

Key Areas of Responsibilities

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Expert knowledge of IFSCA regulatory framework and international trading norms.

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Experience in trading on NSE IX and reporting of NLT Trades  Experience of trading in India Equity Derivatives.

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Ability to manage the revenue target for the GIFT branch.  High ethical standards and ability to enforce compliance culture.

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Strong analytical, reporting, and interpersonal communication skills.

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Ability to lead the office from a local management standpoint and to represent the firm for regulatory matters.

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Oversee order execution, technology, settlement, clearing processes and ensure client interests are protected.

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Ensure adherence to all provisions of the IFSCA (Capital Market Intermediaries) Regulations, relevant exchange bye-laws, rules, and circulars.

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Maintain and implement internal compliance manuals aligned with IFSCA requirements.

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Monitor all activities of the broking firm to ensure compliance with PMLA, 2002 and Rules thereunder.

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Ensure fit and proper status of the intermediary is always maintained.

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Requirements

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Educational: Graduate in Finance, Commerce, Economics, Law, or related discipline.

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Preferable: Postgraduate degree or professional qualifications (e.g., CA, CS, CFA, FRM).

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Minimum years of experience: Minimum 10 years in capital markets, with at least 3 years at a SEBI/IFSCA registered intermediary.

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Certification: NISM or any IFSCA or exchange-mandated certification/training for Principal Officers; AML training certification preferred.

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No adverse findings from any regulator.

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Not debarred from capital market operations  Meets “fit and proper” criteria under IFSCA regulations.

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Ability to converse in fluent English (written & Oral)

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Serve as the contact for all communications with International Financial Services Centres Authority (IFSCA), Recognized IFSC exchanges and clearing corporations

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