Compliance Manager

4 weeks ago

Mumbai, Maharashtra, India SIG Full time

About the Role

SIG is a global quantitative trading firm that seeks a Compliance Manager to oversee compliance frameworks, manage regulatory engagements, and handle compliance matters, including AML/CTF as necessary, for our India trading operations.

This role will take the lead in managing local compliance matters and working collaboratively with colleagues in all of our Asia Pacific, USA, and Europe locations.

The Compliance Manager will partner with key stakeholders and support strategic business initiatives related to SIG's India trading operations.

Key Responsibilities

  • Develop and oversee programs and systems to ensure compliance with regulations, governance, and internal policies across the India trading business.
  • Provide SIG with insight and guidance on all applicable Indian compliance matters.
  • Develop and maintain strong relationships with regulators, brokers, and exchanges in India to stay abreast of new regulatory developments and industry best practices in compliance.
  • Develop strong relationships with corporate counsel (internal and external) and all parts of the business to monitor compliance with relevant standards and regulations.
  • Partner with key stakeholders to assess business strategies and identify compliance risks and solutions.
  • Lead efforts in the generation of presentations, training, and communications, and statutory reporting requirements.
  • Provide guidance to the IT department on the development and testing of IT systems and controls.
  • Maintain and review all applicable compliance system trading controls.
  • Develop and maintain regulatory programs, compliance manuals, policies, and procedures, as well as their effective implementation.

Requirements

  • 10+ years of experience in regulatory compliance, equities, and/or derivatives market experience/exposure preferred.
  • Professional and/or industry qualifications preferred.
  • Ability to provide presentations and training to colleagues as required.
  • Ability to draft and review compliance policies and procedures.
  • Working knowledge of reviewing IT system development from a compliance perspective.

About SIG

SIG is a global quantitative trading firm founded by a group of friends who share a passion for game theory and probabilistic thinking. We have incorporated this approach into our culture, where you will find relentless problem solvers within each of our core disciplines: Trading, Technology, and Quantitative Research. From offices around the world, our employees collaborate to make optimal decisions and are driven by the desire to achieve winning results together.

What We Do

We are experts in trading essentially all listed financial products and asset classes, with a focus on derivatives trading. Through market making and market taking, we handle millions of trading transactions around the world every day, providing liquidity and ensuring competitive prices for buyers and sellers. While our presence in the market is broad, our trading desks are highly specialized, allowing for a deep understanding of unique drivers of each asset class.

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