Compliance Officer

3 weeks ago

Mumbai, Maharashtra, India Neo Wealth and Asset Management Full time

Position: Compliance Officer (Proprietary Trading Desk)

Job Overview:

We are looking for a proactive and detail-oriented Compliance Officer to oversee regulatory, risk, and exchange compliance across our broking operations and proprietary trading desk, including algorithmic trading activities. This role demands close coordination with trading, risk, and technology teams, and ensures full compliance with SEBI, NSE, BSE, MCX, and other regulatory mandates.

Key Responsibilities:

1. Regulatory & Exchange Compliance:

  • Ensure adherence to SEBI, NSE, BSE, MCX, and other regulatory frameworks applicable to broking and prop trading activities.
  • Manage end-to-end exchange compliance requirements such as audits, reporting, circular implementation, and system audits.
  • Act as liaison with regulators and exchanges, ensuring prompt responses to notices, queries, or inspections.

2. Algo Trading & Risk Compliance:

  • Oversee compliance for algorithmic trading strategies, ensuring all algo orders are exchange-approved and mapped as per regulatory guidelines.
  • Monitor real-time trading activity for potential breaches of defined risk parameters (e.g., price bands, PNCs, OTRs, fat-finger checks).
  • Coordinate periodic system audits, kill switch testing, and algorithm testing protocols in line with SEBI and exchange requirements.
  • Collaborate with risk and technology teams to implement pre-trade risk controls, position limits, and surveillance mechanisms.

3. Internal Controls & Frameworks:

  • Maintain and update internal compliance policies and SOPs in line with evolving regulatory standards.
  • Conduct internal audits and surprise checks to evaluate process integrity across business and tech functions.
  • Train staff and trading desk members on compliance policies, regulatory updates, and risk protocols.

4. Surveillance & Reporting:

  • Use surveillance tools to monitor insider trading, front-running, spoofing, and other prohibited activities.
  • Drive compliance reviews post market anomalies or outages.

Qualifications:

  • Bachelor's or Master's in Law, Finance, or related discipline. Compliance certifications (e.g., NISM Series III, Series VII) preferred.
  • 5+ years of compliance experience in a SEBI-registered broking house, proprietary trading firm, or exchange.
  • Strong knowledge of SEBI circulars, algo trading regulations, risk control mechanisms, and exchange operations.
  • Experience dealing with exchange inspections, algo audits, and regulatory technology integration.
  • Analytical and tech-savvy with ability to understand risk systems, trading APIs, and surveillance tools.

Skills:

  • Excellent communication and stakeholder management skills.
  • High integrity, attention to detail, and proactive problem-solving.
  • Ability to work independently and under pressure in a fast-paced trading environment.

Preferred:

  • Exposure to high-frequency or low-latency trading environments.
  • Understanding of FIX/OMS/RMS systems and pre-trade risk APIs.
  • Prior interaction with SEBI/Exchange officials or participation in regulatory committees.

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