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Head of Compliance

Head of Compliance role at IMC India in Mumbai.
IMC
On-Site
India
Undisclosed salary
Job Description
IMC is seeking a Head of Compliance to oversee regulatory compliance and risk management for its India operations, located in Mumbai. The Head of Compliance will collaborate with global teams and key stakeholders to ensure IMC operates within the legal and regulatory framework set by SEBI and other regulators. This role requires a strategic thinker with strong analytical skills to provide compliance insights and business recommendations to management based on regulatory updates.

The role involves:
  • Overseeing regulatory reporting and audits.
  • Managing regulatory inspections and audits.
  • Addressing Exchange and Regulatory alerts and investigations.
  • Overseeing employee compliance requirements.
  • Overseeing secretarial compliances.
  • Monitoring the Risk Management System.
  • Providing strategic recommendations on business opportunities.
  • Conducting periodic risk assessments.
  • Acting as the company’s primary liaison with SEBI and other regulators.
  • Assisting the Board and Senior Management in overseeing the implementation of Compliance Policies.
  • Promoting IMC’s Compliance culture.
  • Identifying innovative and technology-driven solutions to streamline and scale compliance processes.
  • Playing a central role in identifying the level of Compliance risk.
  • Ensuring compliance with supervisory directions from regulatory bodies.
  • Collaborating with the Board and Senior Management to ensure that compliance measures align with business objectives.

Requirements:
  • Over 10+ years of experience in compliance, secretarial, and risk management roles in the securities market.
  • Qualified Company Secretary (CS) or Chartered Accountant.
  • LLB will be an added advantage.
  • A thorough understanding of Business Rules, Bye-Laws, and various regulatory provisions of SEBI and various Exchanges and Clearing Corporations.
  • NISM-Series-III-A and VII certifications (or readiness to obtain before joining).
  • Strong analytical, communication, and project management skills.
  • Technology skills involving scripting and databases (eg SQL) are an advantage.
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IMC

IMC is a global trading firm that operates in the financial markets since 1989. The company leverages advanced research and technology to provide liquidity and stability across various markets. With offices in the US, Europe, Asia Pacific, and India, IMC fosters a collaborative culture among its research, engineering, trading, and business operations teams. IMC is committed to innovation, continuous improvement, and actively engages with regulatory bodies across multiple jurisdictions to ensure adherence to evolving industry standards and compliance requirements.

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