Compliance Associate

Compliance Associate

Role Type: Full-Time

Location: Mumbai (BKC)

Search Partner: Haachi

The Opportunity: Partner with a Global Market Maker

We are seeking to place a high-impact Compliance Associate with our client—a leading, established proprietary financial firm recognized globally for its expertise in high-frequency trading (HFT) and market-making.

Headquartered in the US, our client has a significant global presence with offices across more than a dozen locations worldwide, including a critical hub in Mumbai, supported by a robust workforce of over 2,500 of the best talent in the world.

Our client's competitive edge is powered by the best human minds on the planet, utilizing state-of-the-art technological infrastructure (ultra-low latency systems, FPGAs). Their unique culture is driven by game theory, decision science, and Integrity—where the best idea always wins.

The Role: Operational Excellence and Strategic Mandate

The Compliance Associate role is highly 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 assume direct, independent ownership of critical compliance functions:

I. Core Regulatory Execution

- Meticulous Filings: Independently navigate and utilize NSE and BSE portals for all regulatory filings and ensure the timely and accurate submission of these critical reports to exchanges and authorities.
- Vigilant Oversight: Proactively oversee daily SEBI and Exchange circulars, translating their directives into internal compliance requirements and updating policies swiftly.
- Audit Management: Manage and oversee regulatory inspections and periodic audits, ensuring that any findings are resolved 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 the IT department on the development, enhancement, and testing 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 current NISM Series IIIA (Derivatives) and VII (Equity) certifications are required.
- Preferred Professional Degree: Company Secretary (CS) or Chartered 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+ years of operational experience in regulatory compliance within the Indian capital markets, preferably focusing on equity or derivatives trading.
- Core Operational Proficiency: Proven, independent expertise in utilizing and navigating NSE and BSE portals for 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 to interpret and apply complex regulations effectively in a fast-paced, quantitative environment.
- Communication & Drafting: Excellent communication skills (written and verbal); strong drafting skills for 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.