Compliance Associate

Overview

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.