Key Areas of Responsibilities Advice and assist with all aspects of compliance function relating to stock broking, research and investment banking Advice lead all company secretarial work streams of the entities in India. Experience with SEBI, AML and FIU related requirements Overall assistance to team in various Compliance Monitoring activities (Transaction Monitoring, resolving Internal Surveillance System alerts, RBS submissions, FIU related etc.) Independent handling of all regulatory filings to be filed with SEBI, Exchanges and Group Compliance on monthly / quarterly / half-yearly / yearly / ad-hoc basis. Assist in formulating and implementing Compliance policies Assist in Client On-boarding related activities (including KYC/ AML checks) Independently handling all audits and inspections Handling all Corporate Secretarial function of CLSA India Requirements 8 - 14 years of experience, as compliance officer and corporate secretary in Stock Broking, Research and Investment Banking firm in the Compliance Corporate Secretarial function Company Secretary Postgraduate from a well-recognized university LLB is preferable but not a must. Strong written and verbal communication skills Not the right fitYou can create a job alert to receive our latest job openings that meet your interest.

Key Areas of Responsibilities Manage the front desk and the Board line telephone number of CLSA India Office at Mumbai in a professional manner Answer & respond to phone calls on office board line, communicate required information to concerned Stay vigilant to inward calls from significant Investors and regulators Guest management and floor supervision of CLSA main reception area and meeting rooms Working closely with Department Heads and Business Stakeholders to ensure seamless guest & visitor coordination, meeting room management and concierge services Query resolution and diverting calls to right department / stakeholders Organize and prepare for client and visitor meetings, including gathering documents and attending to logistics Assisting with a variety of administrative tasks, making travel plans, if required. Requirements Excellent written and verbal communication skills Experience in managing office front desk / reception Interpersonal skills, time-management skills, Eye for detail & ability to multitask Good understanding of Microsoft Office suits and working knowledge of office automation tools 3 - 6 years experience as an Executive Assistant and in administration management Graduation in any discipline Professional Certificate in Microsoft Office suits is desirable Stay informed on CITIC CLSA Job Opportunities

Key Areas of Responsibilities Primarily responsible for taking care of FIX infrastructure and changes associated with it. Responsible for certifying clients and on boarding them in Production. Responsible for FIX QA related activities as and when assigned. Interact with developers and work across teams for QA projects. Interact with business users and client for investigation of any issue with electronic order flow. Work on SQL, Unix & proprietary trading environment. Work on rollouts for new/existing Markets and new/existing products. Work on Critical Projects with demanding time frames. Work on various in-house developed systems and assist with the QA for the same. Work on Bloomberg and various automation tools with an effort to continuously automate the process. Follow standards and best practices, involving the broader technology organization where appropriate. Analyzing the problems and creating definite test suite for the same. Requirements Minimum 5 years of experience in an Equities Brokerage Front Office role, specifically in Capital Markets, with a strong proficiency in FIX technology, including FIX certification and client onboarding. Proven expertise in Cameron FIX and a solid understanding of Cash Equity business in DMA/DSA, Agency, and Program FIX environments. Adequate knowledge of Futures & Options in DMA & DSA FIX environments, coupled with 3-5 years of experience in a Broker/Dealer setting. Familiarity with Asian market exchange rules (HK, JP, KR, SG, TW, AU, IN) and trade flow systems for DMA/DSA trade booking, especially in Korea, Taiwan, and India. Proficient in Algo systems, Order Management Systems (e. g. , Fidessa, Flextrade), and Front-end systems (e. g. , Bloomberg, ITG). Experience with FIX testing (e. g. , VeriFIX) and monitoring tools (e. g. , ITRS); capable of working independently as a self-starter. Willingness to perform other Trade Support functions and work in a fast-paced trading floor environment. Excellent communication skills for interaction with vendors and traders; FIX development skills and knowledge of FIX protocol (versions 4. 0, 4. 1, 4. 2), engines (Cameron, Appia), Oracle, Unix, shell scripting, automated tools, and algo screens are an advantage. Should be willing to work in shifts across the day. Stay informed on CITIC CLSA Job Opportunities

Key Areas of Responsibilities The role involves fulfilling team management duties to ensure effective leadership and support for the team. Monitoring custody overdrafts and margins is crucial to maintain financial integrity and compliance. Verification of custody and agent bank invoicing is necessary to ensure accuracy and adherence to financial standards. Understanding and processing FOP (free of payment) payments is an important responsibility within the role. Managing MTM (Mark to Market) and collateral payments is essential. Processing foreign exchange settlements and payments to ensure timeliness and accuracy. Verification of funding sheets is required to confirm that all accounts are funded on time. Cash projection and identifying funding requirements aid in the effective management of liquidity. Participation in projects and conducting UAT (User Acceptance Testing) are integral to ensure that new systems meet operational needs. Resolving reconciliation issues is important for maintaining financial accuracy and accountability. Maintaining updated procedures, process maps, and control documentation (CSOXs) is vital for compliance with regulatory standards. Conducting staff appraisals is necessary to foster professional development and enhance team performance. Providing support, guidance, and mentoring to team members is essential for cultivating a collaborative and productive work environment. Maintaining positive relations with clients and agent banks is crucial for successful partnerships and effective communication. Finally, seeking out opportunities for risk reduction and improvements in control measures safeguards the organization s interests and enhances operational resilience. Requirements At least 5 years of minimum experience in a cash /treasury operations related industry, preferably in a broker/dealer back office set up, with at least 2 years in a managerial position. Detailed knowledge of European and Asian and US equity and Fixed income along with OTC derivatives, their practices, procedures and trends Sell side brokerage operations working knowledge Strong communication and interpersonal skills to interact with all senior management Knowledge of operations systems/applications commonly used in securities/treasury related industry Ability to take up multi-tasking and accomplish tasks in a timely manner. Ability to build rapport with Local office, brokers and clients based across all regions. Must be able to participate in change, identify opportunities and challenge current processes and practices Self-motivated, desire to be challenged and eager to learn Bachelor s or Masters in Commerce and Finance/Banking. Knowledge of markets and instruments is a plus, in addition to front to back investment banking processes Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.

Key Areas of Responsibilities Manage user engagement across all regional operational departments, Internal and external stakeholders as required for understand the Trade Processing Flow and associated systems. Proficient and hands-on in Requirement Elicitation and Documentation from a Functional perspective Conduct whiteboard sessions and other effective means to garner holistic, cohesive user requirements. Ensure project objectives and scope are clearly understood and documented by all operational functions. Clear and elaborate documentation of As Is vs To Be process flows, assess and document user requirements at a level of quality that facilitates user sign off. Ensure F2B impact of Ops process is done while articulating change requirement Schedule IT walkthroughs of Ops Functional requirements, ensure traceability of Functional requirements to Solution/Design document prepared by IT. Facilitate creation of operational control model as part of requirement gathering, conduct brainstorming discussions for reviewing the Control Model with Sr. Management and relevant stakeholders. Contribute ideas as to how the process of requirements gathering can be optimized. Develop and maintain working relationships with key stakeholders across IT & operations. Facilitate Delivery of key change projects in the Middle and Back Office space. Accountable/Responsible for all Project Management tasks within Ops domain, ensuring scope & change control is documented accurately, Ops resource allocation is well planned, timelines, risk and issues/escalations are all managed and controlled via Ops Project Working Groups / Governance forums. Regular tasks include (but not limited to) maintaining project action trackers, providing regular project status reports, conducting Ops working group meetings and support of urgent BAU exception scenarios requiring where line processing teams need guidance. Proactive go-getter who is keen to work closely with Business and IT stakeholders to ensure timely and quality delivery. Manage administration of issues to assist prioritization decisions. Management of operational change resourcing and project book of work prioritization Undertake general project management administrative tasks & status report communications Requirements Degree qualified in a relevant discipline Minimum 5 years as BA+PM role, preferably working in a multi-cultural (financial/broking or related) organization Experience of Securities Back Office systems with good project management knowledge, skills and experience. Knowledge base of the above-mentioned operational disciplines (Middle Office, Asset Services, Settlements, Reconciliations, Cash / Collateral management). Team player with the ability to vary his/her style and pace to suit the audience Able to negotiate and manage conflict Capable of facilitating Operations functional requirement gathering and documentation Capable of illustrating functional Ops workflows (Visio) Has worked in or in close co-operation with the Operations / Securities and IT Departments. Familiar with the standard working procedures and practices of an Operations Department Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.

Key Areas of Responsibilities Trade bookings and processing. Trade confirmations and Contract note. Static and Reference Data maintenance FX Processing (non-execution) Update and Documentation of procedures, process maps. Active management of day to day issues and queries from internal/external parties with Escalations as necessary. Co-ordination with regional trade support groups, traders and customers to resolve queries / issues. Active participation in UAT testing and related aspects of change management. Reconciliation issues Act as an authorizer and releaser for various systems You must be able to supervise and have control over the daily BAU and Projects Play a supporting role in projects, process & system improvements, cost & efficiency savings etc. You must be able to multi-task and deliver work on time You must be able to train new staff and junior staff on new tasks or work development or process changes Requirements Graduate with minimum of 4 years of experience in the securities or related industry. Should have direct experience in Asian markets or who have Middle office experience will be given special consideration. Coordinate with front office and other support teams, locally and globally, to address trade related enquiries and issues. Knowledge of trade processing / contracting processes and procedures, reference data. Reconcile and validate trade capture activity in timely and accurate manner. Assist in resolving trade discrepancies caused from trade failures, breaks, etc. Develop standard processes to route customer queries to correct department for timely resolution. Monitor internal and inter-branch dealing to identify/escalate unusual trading activity. Provide excellent and outstanding customer service. Scrutinizing processes to identify issues within the flows and then working with senior management to drive through change and process enhancements. Should be familiar with Microsoft Office and preferably have experience in the usage of operations systems/applications commonly used in securities related industry including ALERT, OASYS, etc. Ability to work within a team environment. Strong communication and interpersonal skills to interact with various levels of management. Excellent time management, problem solving and analytical skills. Ability to work accurately and with attention to detail. Ability to work to deadline and deal sufficiently with time pressure Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.

Key Areas of Responsibilities End to end delivery of software changes, from requirement inception to production rollout. Rotation to perform production support tasks, including but not limited to listed below. Monitoring production environment and act on production incidents Work on Service Request Fulfillment, Incident Management, Problem Management and Change Management. Manage weekend events like software releases, BCP testing, exchange rehearsal etc. Status reporting on Health Checks, Changes, Incidents, Capacity and Performance. Documentation of Application Knowledgebase, Process. Make monitoring tool changes aligned with changing requirements or gaps observed/reported. Proactively highlight risk any observed and suggest ways to mitigate impact. Suggest new ideas for Automation and be able to implement automation ideas. Requirements Computer Science or equivalent degree 5 to 9 years Support experience in an Investment Banking or Financial Domain [Must Have] Be proficient in at least one of these common programming languages: Java, C#, C++, Typescript, Python, Shell scripting, PowerShell [Must Have] Strong in SQL, Linux, Scripting using Bash / Ksh. [Must Have] Familiar with DevOps stacks like Git, Bamboo, Jenkins, Docker, Kubernetes. Strong understanding in entire software lifecycle, from development to production support 5+ years of experience in managing multiple applications which include in-house developed or vendor based applications. Strong problem-solving and analytical skills. Strong desire to learn new technologies and equities trading workflow. Open-minded to adopt and propose best practice.

Key Areas of Responsibilities Ensure 24/7 availability of storage services through proactive management, monitoring, and timely response to critical issues. Engineer storage administration solutions to meet project and operational requirements. Manage and support Veeam and Networker backup and restore technologies. Maintain best practices for storage management across diverse environments. Conduct fault analysis and reporting on performance exceptions using log data. Monitor storage performance and execute capacity planning proactively. Coordinate and implement software upgrades, patches, and hot fixes for storage systems. Create and modify scripts to automate tasks as needed. Collaborate on enhancements to improve the stability, security, efficiency, and scalability of the storage environment. Provide weekend support as required. Participate in Disaster Recovery (DR) and Business Continuity Planning (BCP) exercises. Manage storage infrastructure remotely. Lead incident resolution calls, ensuring effective problem management to mitigate risks. Collaborate with application developers, DBAs, Unix, and Wintel system administrators to address data storage needs and performance challenges. Requirements Extensive experience with deploying, configuring, and managing storage solutions, including PureStorage, EMC PowerMax, VMAX, Unity, HPE 3PAR/Primera/Alletra, NetApp C mode, and Huawei Oceanstor Dorado. Proficiency in implementing and managing advanced storage replication technologies such as Pure ActiveCluster, HPE Peer Persistence, PowerMax SRDF/Metro, Snapshots, RecoverPoint, and NetApp Snapmirror. Experience with object-based storage (EMC ECS, NetApp SnapLock) and performing storage refreshes and data migrations in coordination with application teams. Strong understanding of designing, configuring, and troubleshooting Fabric environments using Brocade and Cisco switches. Familiarity with protocols including NFS, SMB, iSCSI, NDMP, FCIP, and REST, including troubleshooting file share access and performance issues. Knowledge of operating systems such as Linux, Windows, and VMware, including troubleshooting SAN/NAS connectivity and performance. Experience with Veritas Volume Manager and Veritas Cluster Server. Proficiency in automation using scripting languages such as Shell, Perl, or Python. Familiarity with VEEAM and EMC Networker backup and recovery products. Knowledge of software-defined storage technologies like Dell PowerFlex and NetApp ONTAPSelect. Stay informed on CITIC CLSA Job Opportunities

Key Areas of Responsibilities Day to day operation of SMARTS monitoring tool and analysis of triggered alerts related to APAC wide Equities and Derivatives transactions Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessary Understand the regulatory framework of the exchanges in scope for review Drive continuous improvement of the surveillance framework including refinement and recalibration Contribute to the implementation of strategic department projects including global and regional initiatives participate in implementation activities including testing and business integration Assist in the production of effective management information reports for Senior Management Contribute to team discussions, investigations and knowledge acquisition Good understanding of the trade surveillance terminologies and types of market manipulations. Requirements Attention to detail and process oriented Investigative skills Proficient in Word and Excel Good prioritization, organizational and multi-tasking skills Self-motivated, desire to be challenged and eager to learn Experience in building relationships with stakeholders Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines 2 to 4 years of experience in Trade Surveillance. Familiarity with SMARTS / IRESS/ Qlik Sense systems will be an added advantage. Stay informed on CITIC CLSA Job Opportunities