Compliance Associate

Susquehanna is a global quantitative trading firm founded on a platform of intellectual curiosity. We bring together the brightest minds, cutting-edge technology, and expansive sets of data to solve incredibly challenging problems.

We are currently seeking a Compliance Associate to be part of our Mumbai office with proven experience in overseeing and ensuring compliance with all regulatory requirements, frameworks.

What we’re looking for

Assist in regulatory reportings, ensuring timely and accurate submissions to exchanges on their portals

To oversee daily SEBI and Exchange circulars and implement their compliance requirements

Manage and oversee regulatory inspections, periodic regulatory audits ensuring timely resolutions of findings/ observations

To assist in employee compliance requirements including mandatory trainings, declarations and provide relevant assistance as required

Partner with key stakeholders to assess business strategies and identify operational and compliance risks and solutions

Assist the Head of Compliance in the generation of presentations, training and communications, and compliance with statutory reporting requirements

Provide guidance to the IT department on the development and testing of IT systems, processes and controls

Develop, maintain and enhance operations and compliance systems, trading controls and reporting capability.

To assist in developing and maintaining regulatory programs, compliance manuals, policies, and procedures, as well as their effective implementation.

Interact with Susquehanna operational and compliance colleagues in Asia, the EU & US for cross border projects.

Applicant Requirements

Thorough understanding of Indian corporation law & securities, derivatives, and Commodities market laws.

Through understanding of Exchange Compliance requirements and familiarity with their reporting systems

Indian clearing house margin, clearing & settlement rules & procedures (preferred).

Indian privacy law and data security law (preferred).

2+ years of experience in regulatory compliance, with an equity, derivative market experience/exposure is preferred.

NISM series IIIA &VII ceritifications

Company Secretary/ Charted accountant background is preferred

Personal Skills

Excel at building collaborative partnerships with stakeholders

Strong ability to interpret regulations and legislation

Excellent oral, written, and interpersonal communication skills with the ability to communicate complex information to all levels in English

Exhibit a strong solution focused approach which leads to timely resolutions

Work autonomously and as a member of wider APAC team.

Ability to provide presentations & training to colleagues as required.

Ability to draft & review operational, compliance, risk & IT policy & procedures.

Legal + Compliance