GM Compliance- Associate Manager

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

• Bachelors 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.

Required Skills:

Trade RegulationMarket abuseMarket regulatoryComplianceMarket ConductEquities TradingTrade lifecycleSurveillanceAudit