Associate Regulatory Affairs Specialist

2 weeks ago

Mumbai, India Haachi Business Solutions Private Limited Full time

Compliance Associate Role Type: Full-Time 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 . Their unique culture is driven by game theory, decision science, and Integrity —where the best idea always wins. 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. The successful candidate will assume direct, independent ownership of critical compliance functions: Core Regulatory Execution 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 . Business Advisory: Partner with key stakeholders across Trading and Technology to assess strategies, identify potential operational and compliance risks, and propose robust solutions. 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. Assist with internal employee compliance requirements (training, declarations) and assist in preparing statutory reporting and communications. We are seeking a candidate with a proven track record of immediate operational impact and deep regulatory competence. 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. Professional Experience Minimum Experience: 2+ years of operational experience in regulatory compliance within the Indian capital markets, preferably focusing on equity or derivatives trading . Proven, independent expertise in utilizing and navigating NSE and BSE portals for all mandatory regulatory and statutory filings. Demonstrated experience managing or coordinating regulatory inspections and reviews, with a track record of driving the resolution of findings. Strong working knowledge of Indian corporate laws, SEBI regulations, and Stock Exchange operational frameworks. strong drafting skills for compliance policies and procedures.

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