Compliance Associate

Compliance Associate Role Type: Full-Time Location: Mumbai (BKC) Search Partner: HaachiThe Opportunity: Partner with a Global Market Maker We are seeking to place a high-impact Compliance Associate with our client—aleading, established proprietary financial firmrecognized globally for its expertise inhigh-frequency trading (HFT) and market-making . Headquartered in the US, our client has a significant global presence with offices acrossmore than a dozen locations worldwide, including a critical hub in Mumbai , supported by a robust workforce of over2,500 of the best talent in the world . Our client's competitive edge is powered by thebest human minds on the planet , utilizingstate-of-the-art technological infrastructure(ultra-low latency systems, FPGAs). Their unique culture is driven bygame theory, decision science, and Integrity —where the best idea always wins.The Role: Operational Excellence and Strategic Mandate The Compliance Associate role ishighly operational and specialized , embodying a unique duality essential for a high-frequency trading environment. This position is central to ensuring strict adherence to all Indian regulatory frameworks (SEBI, NSE, BSE), mitigating risk, and proactively supporting sophisticated trading functions. Key Responsibilities (High-Impact Operational & Strategic Duties) The successful candidate will assumedirect, independent ownershipof critical compliance functions: I. Core Regulatory Execution Meticulous Filings:Independently navigate and utilize NSE and BSE portalsfor all regulatory filings and ensure thetimely and accurate submissionof these critical reports to exchanges and authorities. Vigilant Oversight:Proactively oversee daily SEBI and Exchange circulars,translating their directives into internal compliance requirementsand updating policies swiftly. Audit Management:Manage and oversee regulatory inspections and periodic audits, ensuring that any findings areresolved promptly and definitively . II. Strategic Partnership & Controls Business Advisory:Partner with key stakeholders across Trading and Technology to assess strategies, identify potential operational and compliance risks, and propose robust solutions. Technology Integration:Provide essential compliance guidance to theIT departmenton the development, enhancement, andtesting of systems, processes, and trading controls —a non-negotiable aspect of HFT where compliance is embedded in the technology itself. Culture Cultivation:Assist with internal employee compliance requirements (training, declarations) and assist in preparing statutory reporting and communications.Candidate Requirements We are seeking a candidate with a proven track record of immediate operational impact and deep regulatory competence. I. Education & Professional Credentials Mandatory Certifications:Valid and currentNISM Series IIIA (Derivatives) and VII (Equity)certifications are required. Preferred Professional Degree:Company Secretary (CS)orChartered Accountant (CA)or an equivalent professional qualification is highly preferred. Academic Foundation:Bachelor's or Master's degree in Finance, Law, Commerce, or a related quantitative field. II. Professional Experience Minimum Experience:2+ yearsof operational experience in regulatory compliance within the Indian capital markets, preferably focusing onequity or derivatives trading . Core Operational Proficiency:Proven, independent expertise in utilizing and navigatingNSE and BSE portalsfor all mandatory regulatory and statutory filings. Audit & Remediation:Demonstrated experience managing or coordinating regulatory inspections and reviews, with a track record of driving the resolution of findings. Domain Knowledge:Strong working knowledge of Indian corporate laws, SEBI regulations, and Stock Exchange operational frameworks. III. Core & Technical Skills ️ Analytical Rigor:Proven ability tointerpret and apply complex regulationseffectively in a fast-paced, quantitative environment. Communication & Drafting:Excellent communication skills (written and verbal);strong drafting skillsfor compliance policies and procedures. Proactivity & Independence:A proactive, solution-oriented approach, with the ability to work independently while collaborating effectively across global and regional teams.