Job
Description
About the Role: The ideal candidate will have deep expertise in the regulatory landscape governing proprietary trading, with a focus on exchange-specific compliance requirements. This individual will play a critical role in ensuring the firm's adherence to all regulatory guidelines, mitigating risks, and maintaining robust compliance protocols. Key Responsibilities: Oversee the firm's overall compliance framework, ensuring adherence to the regulations set by various stock and commodity exchanges (e.g., NSE, BSE, MCX, SEBI, NSEIX, SGX). Develop, implement, and maintain compliance policies and procedures tailored to high-frequency trading operations. Act as the primary point of contact for all regulatory inspections, audits, and communications with exchange authorities. Conduct regular compliance audits, risk assessments, and gap analyses to identify and mitigate potential compliance risks. Stay updated on evolving regulations and proactively assess their impact on the firm's operations. Collaborate with the trading, technology, and risk teams to ensure integrated compliance controls. Prepare and submit regulatory filings and reports in a timely manner. Provide training to internal teams on regulatory requirements and updates. Manage relationships with external stakeholders, including regulators, auditors, and industry bodies. Required Skills and Qualifications: Bachelor's or Master's degree in Finance, Law, or related field. 5+ years of experience in compliance within a proprietary trading firm or a similar financial institution. In-depth knowledge of exchange regulations, including trading limits, margin requirements, and risk controls. Hands-on experience handling regulatory inspections and audits. Strong analytical, problem-solving, and communication skills. High attention to detail with a proactive and risk-focused mindset. Experience working in exchange inspection departments is highly desirable. Why Join Us: Opportunity to lead the compliance function for a cutting-edge trading firm. Competitive compensation and performance-based incentives. Collaborative and innovative work environment. Direct exposure to senior leadership and high-impact projects. Show more Show less
