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.
