NSE/SEBI Compliance Officer

Compliance Officer QuantaNova Technologies LLP

Location:

About QuantaNova Technologies

Role Overview:

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.

• Audits & Reporting:

• Lead reporting obligations to regulatory bodies, manage surveillance and grievances.
• Direct technology compliance, including adherence to SEBI's cybersecurity framework and coordinating all periodic system and network audits.
• Conduct regular internal compliance audits, reviews, and training.

• Oversight & Engagement:

• 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
• Serve as the independent authority on compliance matters
• Ensure all staff meet and maintain mandatory certifications (e.g., NISM-Series-III A).

Eligibility Criteria

• Graduate from a recognized institution (Law, Commerce, Finance, Economics, etc., preferred).
• Minimum 4+ years of regulatory compliance experience 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.

Compensation: