Compliance Officer

Compliance Officer – QuantaNova Technologies LLPLocation: Onsite – Golf Course Road, Gurgaon (Full-Time)

About QuantaNova Technologies LLP

QuantaNova Technologies is a new-age quantitative trading firm with a bold vision: to build a world-class, AI-first investment firm excelling across global markets, guided by scientific principles and academic rigor.. Founded by graduates from the Massachusetts Institute of Technology (MIT), with extensive experience managing multi-million-dollar portfolios at leading global hedge-funds, we are poised to redefine the investing landscape.

Role Overview

We are seeking an experienced Compliance Officer to oversee all regulatory compliance functions, ensuring strict adherence to the rules laid down by SEBI, Stock Exchanges (NSE, BSE, MCX, NCDEX), Depositories (CDSL, NSDL), and other governing bodies. The ideal candidate will have deep expertise in regulatory frameworks, market operations, and risk management across capital markets.

Key Responsibilities:

Regulatory & Trading Compliance:

• Ensure firm-wide adherence to all SEBI, Exchange, and Depository regulations.
• Manage the full lifecycle of algorithmic trading compliance, from strategy approvals and real-time monitoring to maintaining complete audit trails.
• Oversee compliance for all trading platforms (NEAT, TWS, CTCL), ensuring robust risk management controls are in place.
• Implement and maintain stringent Anti-Money Laundering (AML) and Know Your Customer (KYC) processes.
• Direct technology compliance, including adherence to SEBI's cybersecurity framework and coordinating all periodic system and network audits.
• Act as the primary, independent liaison with SEBI and Exchanges, for inspections
• Maintain expert knowledge of evolving regulations, with a special focus on rules impacting quantitative trading/ HFT

Eligibility Criteria

• Graduate from a recognized institution (Law, Commerce, Finance, Economics, etc., preferred).
• Minimum 4+ years of regulatory compliance experience, prefrably in stockbroking or financial services.
• Mandatory Certification: NISM-Series-III A: Securities Intermediaries Compliance.
• In-depth knowledge of SEBI, Exchange, and Depository regulations and hands-on experience with trading platforms (NEAT, TWS, CTCL), RMS, back-office, AML, and KYC norms.
• Strong understanding of Indian securities markets, risk principles, and regulatory frameworks.
• Must meet SEBI's "fit and proper" criteria as per circular NSE/COMP/54600 and participate in mandatory half-yearly compliance training.

The minimum salary for this role is estimated at ₹6 LPA. However, higher compensation may be offered based on the candidate’s skills, experience, and overall capabilities.