Compliance Associate

6 days ago

Mumbai, Maharashtra, India Susquehanna International Group, LLP Full time ₹ 9,00,000 - ₹ 12,00,000 per year

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.

What we're looking for

  • 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.

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