Trading Compliance Officer

Aquis Search has partnered with a leading global quantitative trading firm in their search for a Trading Compliance Officer in Mumbai. This role will work closely with trading, technology, and operations teams to ensure adherence to regulatory requirements and internal compliance standards across trading activities.

The position requires a hands-on compliance professional who can operate in a fast-paced trading environment and manage multiple aspects of compliance coverage.

Key Responsibilities

Monitor trading activity using real-time alerts and surveillance reports to identify unusual trading patterns, order marking issues, trade reporting discrepancies, and volume trends.

Analyse trading data and prepare reports to identify potential compliance risks and market abuse patterns.

Assist in supporting trading desks and control functions on compliance-related matters.

Maintain accurate and well-organized compliance records to ensure readiness for regulatory inquiries or audits.

Investigate potential compliance issues with traders, technology teams, or operational staff and document findings appropriately.

Review and update compliance policies, procedures, and internal controls to align with evolving regulatory requirements and industry best practices.

Manage regulatory registrations and licensing requirements for employees where applicable.

Conduct compliance training programs including onboarding sessions and periodic regulatory training for employees.

Monitor regulatory developments and enforcement actions to assess potential impact on the business.

Liaise with exchanges, regulators, and external stakeholders where required.

Support AML-related compliance coverage where applicable.

Requirements

510 years of professional experience with relevant exposure to compliance within financial services or capital markets.

Strong understanding of equity and derivatives market microstructure and common trading abuse patterns.

Excellent analytical, organizational, and problem-solving skills.

Strong verbal and written communication skills.

Ability to work effectively with cross-functional teams in a fast-paced environment.

Bachelor's degree or equivalent.

If this sounds like you, please click apply, or drop a note on [Confidential Information] for a confidential chat.