Compliance Associate

Compliance Associate

Role Type : Full-Time

Location : Mumbai (BKC)

Search Partner : Haachi

The Opportunity : Partner with a Global Market Maker

We are seeking to place a high-impact Compliance Associate with our client—a

leading, established proprietary financial firm

recognized globally for its expertise in

high-frequency trading (HFT) and market-making

Headquartered in the US, our client has a significant global presence with offices across

more than a dozen locations worldwide, including a critical hub in Mumbai

, supported by a robust workforce of over

2,500 of the best talent in the world

Our client's competitive edge is powered by the

best human minds on the planet

, utilizing

state-of-the-art technological infrastructure

(ultra-low latency systems, FPGAs). Their unique culture is driven by

game theory, decision science, and Integrity

—where the best idea always wins.

The Role : Operational Excellence and Strategic Mandate

The Compliance Associate role is

highly operational and specialized

, embodying a unique duality essential for a high-frequency trading environment. This position is central to ensuring strict adherence to all Indian regulatory frameworks (SEBI, NSE, BSE), mitigating risk, and proactively supporting sophisticated trading functions.

Key Responsibilities (High-Impact Operational & Strategic Duties)

The successful candidate will assume

direct, independent ownership

of critical compliance functions :

I. Core Regulatory Execution

Meticulous Filings :

Independently navigate and utilize NSE and BSE portals

for all regulatory filings and ensure the

timely and accurate submission

of these critical reports to exchanges and authorities.

Vigilant Oversight :

Proactively oversee daily SEBI and Exchange circulars,

translating their directives into internal compliance requirements

and updating policies swiftly.

Audit Management :

Manage and oversee regulatory inspections and periodic audits, ensuring that any findings are

resolved promptly and definitively

II. Strategic Partnership & Controls

Business Advisory :

Partner with key stakeholders across Trading and Technology to assess strategies, identify potential operational and compliance risks, and propose robust solutions.

Technology Integration :

Provide essential compliance guidance to the

IT department

on the development, enhancement, and

testing of systems, processes, and trading controls

—a non-negotiable aspect of HFT where compliance is embedded in the technology itself.

Culture Cultivation :

Assist with internal employee compliance requirements (training, declarations) and assist in preparing statutory reporting and communications.

Candidate Requirements

We are seeking a candidate with a proven track record of immediate operational impact and deep regulatory competence.

I. Education & Professional Credentials

Mandatory Certifications :

Valid and current

NISM Series IIIA (Derivatives) and VII (Equity)

certifications are required.

Preferred Professional Degree :

Company Secretary (CS)

or

Chartered Accountant (CA)

or an equivalent professional qualification is highly preferred.

Academic Foundation :

Bachelor's or Master's degree in Finance, Law, Commerce, or a related quantitative field.

II. Professional Experience

Minimum Experience : 2+ years

of operational experience in regulatory compliance within the Indian capital markets, preferably focusing on

equity or derivatives trading

Core Operational Proficiency :

Proven, independent expertise in utilizing and navigating

NSE and BSE portals

for all mandatory regulatory and statutory filings.

Audit & Remediation :

Demonstrated experience managing or coordinating regulatory inspections and reviews, with a track record of driving the resolution of findings.

Domain Knowledge :

Strong working knowledge of Indian corporate laws, SEBI regulations, and Stock Exchange operational frameworks.

III. Core & Technical Skills ️

Analytical Rigor : Proven ability to

interpret and apply complex regulations

effectively in a fast-paced, quantitative environment.

Communication & Drafting :

• Excellent communication skills (written and verbal);

strong drafting skills

for compliance policies and procedures.

Proactivity & Independence :

A proactive, solution-oriented approach, with the ability to work independently while collaborating effectively across global and regional teams.