Job Title : GM Compliance- Associate Manager
Experience : 7 to 10 Years
Location : Mumbai
Roles & Responsibilities
- Provide day-to-day compliance support and advisory to Sales and Trading teams on equities trading activities.
- Ensure adherence to internal policies, regulatory requirements, and market conduct standards.
- Respond to front-office queries related to trade execution, order handling, client instructions, and best execution practices.
- Monitor trading activities and communications to identify potential compliance risks or breaches.
- Support investigations, incident remediation, and escalation processes when required.
- Participate in compliance reviews, assurance testing, and control assessments.
- Prepare and submit regulatory filings, reports, and notifications accurately and on time.
- Coordinate with internal stakeholders during audits, regulatory reviews, and information requests.
- Maintain and update compliance policies, procedures, and governance documentation.
- Track regulatory developments and support implementation of regulatory changes across business teams.
- Prepare management reports, compliance dashboards, and risk updates for leadership teams.
- Collaborate with regional and global teams to strengthen compliance frameworks and control processes.
- Drive process improvement initiatives, automation, and analytics-focused compliance enhancements.
- Support transformation initiatives aimed at improving operational efficiency and reducing risk.
Requisites
- Bachelor’s degree in Finance, Commerce, Law, Business, or related field.
- Strong understanding of compliance, regulatory frameworks, and market conduct within financial services.
- Knowledge of equities trading, trade lifecycle, and front-office operations.
- Familiarity with regulatory filings, audits, surveillance, and control processes.
- Strong analytical, problem-solving, and risk assessment skills.
- Ability to interpret regulatory requirements and implement effective controls.
- Excellent communication and stakeholder management skills.
- Experience in management reporting, dashboards, and compliance documentation.
- Proficiency in MS Excel, PowerPoint, and reporting tools.
- Interest in automation, AI, analytics, and process improvement initiatives.
- Ability to work in a fast-paced and high-pressure environment with strong attention to detail.
