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, re...