Compliance Manager - India

We are looking for a bright and motivated compliance officer with relevant experience to lead and administer the company’s compliance program in India.  The compliance officer is expected to be knowledgeable regarding SEBI regulations. The candidate should understand the compliance requirements of broker-dealers and how to develop and implement an effective compliance program that will accomplish several objectives:

Responsibilities

  • Initiate and oversee the application process for membership and SEBI registration as a broker
  • Maintain and develop effective compliance policies and procedures to prevent violations of rules or laws in effect by SEBI and exchanges
  • Act as primary compliance contact and liaison with regulatory agencies
  • Interpret and implement policies and procedures around circulars and regulations issued by the exchanges and SEBI
  • Handle all inspections conducted by Regulators, Exchanges and Depositories on annual basis
  • Perform the required periodic or annual review of the Company compliance program and making reports to senior management
  • Stay current on regulatory and compliance matters and modifying existing policies and procedures timely in order for the Company to remain compliant with the rules and laws then in effect
  • Reviewing trading initiatives within the company and ensure appropriate monitoring is in place
  • Act as Company Secretary
  • Ensuring compliance with applicable Licenses including SEBI Broker Registration  

Requirements

  • Bachelor's Degree
  • 5 years of broker-dealer compliance or regulatory experience
  • Strong verbal and written communication skills
  • You are capable of working independently as well as part of a team
  • You learn quickly and apply new skills effectively
  • Ability to multitask and prioritize multiple projects
  • Must be comfortable working in a technical environment

Culture

Hudson River Trading brings a scientific approach to trading financial products. We have built one of the world's most sophisticated computing environments for research and development. Our researchers are at the forefront of innovation in the world of algorithmic trading.

At HRT we are mathematicians, computer scientists, statisticians, physicists and engineers. We research and develop automated trading algorithms using advanced mathematical techniques. We have a fun and casual office atmosphere, but everyone works diligently to get the job done. We boast a flat management structure as all our people are motivated by the excitement of being at the forefront of the automated trading world. No politics or red tape impede the generation or implementation of ideas.


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