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.
Solid 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 solid attention to detail.

📌 Gm Compliance Associate Manager Mumbai
🏢 MASTER MIND CONSULTANCY
📍 Mumbai