Compliance Associate

Susquehanna is a global quantitative trading firm founded on a platform of intellectual curiosity. We bring together the brightest minds, cutting-edge technology, and expansive sets of data to solve incredibly challenging problems.

We are currently seeking a Compliance Associate to be part of our Mumbai office with proven experience in overseeing and ensuring compliance with all regulatory requirements, frameworks.

• Assist in regulatory reportings, ensuring timely and accurate submissions to exchanges on their portals
• To oversee daily SEBI and Exchange circulars and implement their compliance requirements
• Manage and oversee regulatory inspections, periodic regulatory audits ensuring timely resolutions of findings/ observations
• To assist in employee compliance requirements including mandatory trainings, declarations and provide relevant assistance as required
• Partner with key stakeholders to assess business strategies and identify operational and compliance risks and solutions
• Assist the Head of Compliance in the generation of presentations, training and communications, and compliance with statutory reporting requirements
• Provide guidance to the IT department on the development and testing of IT systems, processes and controls
• Develop, maintain and enhance operations and compliance systems, trading controls and reporting capability.
• To assist in developing and maintaining regulatory programs, compliance manuals, policies, and procedures, as well as their effective implementation.
• Interact with Susquehanna operational and compliance colleagues in Asia, the EU & US for cross border projects.

Applicant Requirements

• Thorough understanding of Indian corporation law & securities, derivatives, and Commodities market laws.
• Through understanding of Exchange Compliance requirements and familiarity with their reporting systems
• Indian clearing house margin, clearing & settlement rules & procedures (preferred).
• Indian privacy law and data security law (preferred).
• 2+ years of experience in regulatory compliance, with an equity, derivative market experience/exposure is preferred.
• NISM series IIIA &VII ceritifications
• Company Secretary/ Charted accountant background is preferred

Personal Skills

• Excel at building collaborative partnerships with stakeholders
• Strong ability to interpret regulations and legislation
• Excellent oral, written, and interpersonal communication skills with the ability to communicate complex information to all levels in English
• Exhibit a strong solution focused approach which leads to timely resolutions
• Work autonomously and as a member of wider APAC team.
• Ability to provide presentations & training to colleagues as required.
• Ability to draft & review operational, compliance, risk & IT policy & procedures.

Equal Opportunity Statement

We encourage applications from candidates from all backgrounds, and we welcome requests for reasonable adjustments during the recruitment process to ensure that you can best demonstrate your abilities.

About Susquehanna

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 specialised, allowing for a deep understanding of unique drivers of each asset class.

If you're a recruiting agency and want to partner with us, please reach out to Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.

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