Manager - Compliance - Algorithm Trading Firm (5-10 yrs)
\Industry - Banking / Financial Services / Broking
Category - Finance
Job Type - Permanent
Job Description - Compliance Manager role with Leading Quantitative Trading Company
Challenging role and Growing Opportunity
Our client is a properitory trading firm with a focus on technology and, specifically, algorithmic and high frequency trading strategies. It has major offices across global locations in the major business centers and stock exchanges. It trades all major asset classes on electronic exchanges worldwide. It does most of their trading electronically and in major derivative market, equity market and options market globally.
Reporting to the Business Head, you will be responsible for :
- Advise and assist the business with complying with the firm's obligations under SEBI regulations, exchange rules and other applicable regulations.
- Serve as the primary liaison between regulators, exchanges and the firm.
- Make certain that all external inquiries, audits, questions, questionnaires and reviews (by a regulator or exchange) are addressed in a timely and satisfactory manner.
- Keep abreast of regulatory changes, seek advice from the appropriate advisors and disseminate information to business stakeholders.
- Provide oversight of trading and market surveillance.
- Advise on compliance requirements for new business.
- Make certain the firm is meeting all of its reporting requirements completely and accurately.
- Provide training to stakeholders as needed.
- Provide compliance management information to management committees and board of directors.
- Review and improve the firm's control processes through compliance monitoring and oversee the regular completion of the firm's Compliance Monitoring Program.
- Maintain/ update firm's policies and procedures, compliance manual and other internal compliance documentation.
- Help to oversee the proper functioning of the firm's governance arrangements.
- Partner with the Trading, Risk, Legal and other Support Functions to implement policies, systems and controls.
Looking for an excellent compliance manager with the following requirements-
- 5 years + of experience in a Compliance team.
- Good working knowledge of India regulation as it applies to stockbrokers.
- National Institute of Securities Markets (NISM) certification: NISM-Series-IIIA.
- Background in proprietary trading strongly preferred.
- Experience working in an algorithmic trading environment.
- Experience dealing directly with regulators and compliance departments of India trading venues.
- Entrepreneurial attitude, who will be able to provide leadership and guidance in a small, startup environment.
- Excellent communication and interpersonal skills.
- Ability to issue spot and devise mitigation solutions with a hands on mentality.
- Ability to thrive, adapt, and excel in a flat, dynamic high pressure environment.
- Ability to work independently while maintaining high level of communication with stakeholders.
- Ability to work collaboratively across departments and offices
High growth potential and growth with excellent remuneration
Page Group India is acting as an Employment Agency in relation to this vacancy.
Contact - Anshul Bhardwaj - +91 (0) 124 452 5426
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