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.