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.

- Robust 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 rapid-paced and high-pressure environment with strong attention to detail.

📌 GM Compliance- Associate Manager (India)
🏢 MASTER MIND CONSULTANCY
📍 India