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Compliance Associate

IMC Financial Markets is a proprietary trading firm and market maker for various financial instruments listed on exchanges throughout the world.

(more about IMC)

Compliance Associate

Compliance Associate

As a Compliance Associate at IMC, you’ll work as part of a team to provide compliance support working on a variety of compliance initiatives including:

  • Serving as the first line of defense in keeping our business compliant. This means you’ll maintain accurate, organized, and current compliance records that allow the Firm to respond quickly to any inquiry or audit. You’ll also monitor business activities to ensure the Firm remains in compliance with regulations and the Firm’s policies and participate in developing, reviewing, and maintaining written supervisory procedures.
  • Reporting / updating the Exchange and other regulatory compliance filings, records and systems relevant to broker-dealer registrations, employee certifications and other similar legal and compliance functions on a periodic basis well before the due dates.
  • Resolution of Exchange and Regulatory alerts / investigations/ suspicious activity, preparing draft response to and communicate with India Head and regional compliance and communicate the progress of any reviews and investigations and highlight high-risk matters or regulatory issues.
  • Co-ordination and managing the enablement of new segments on the Exchange, liaising with Clearing member.
  • Co-ordination and management of periodical regulatory audits such as Internal, Systems, Cyber, security and regulatory audits and clean closure of the same.
  • Conducting employee compliance training, testing of compliance policies and procedures in support of periodic certifications and reviews.
  • Organizing and coordinating follow-up items with internal teams / external parties, ensuring prompt execution of tasks and resolution of issues and management of records.
  • To advise the management on compliance issues and liaise with exchanges and regulator.
  • Managing the Company Secretarial activities for the firm in line with The Indian Companies Act, RBI, MCA and other relevant regulatory regulations to ensure compliance well within the timeframe.

What Makes It Fun:

  • One of the most fun aspects of the job is how closely you will work with trading and other areas of the Firm. As part of the Compliance team, you will interact with most teams within the organization and achieve a high-level understanding of how the business operates.  
  • We strive to create strong teams with strong individuals. You will learn a lot from your peers and continue developing your skills and business knowledge as the business grows and changes.


  • Member of “The Institute of Company Secretaries of India (ICSI)” with a valid membership license as on the date of application.
  • 5 years of work experience in a compliance department for a trading firm, regulator, or other financial services firm environment.
  • A thorough understanding of Financial Markets and Business Rules, Bye Laws and various regulatory provisions of SEBI and various exchange’s (NSE, BSE, MCX, NCDEX etc.)
  • NISM NISM-Series-III-A : Securities Intermediaries Compliance (Non-Fund) Certification (should be ready before joining the firm)
  • NISM-Series-VII: Securities Operations and Risk Management Certification (should be ready before joining the firm)
  • NISM-Series-VIII: Equity Derivatives Certification (can be acquired after joining the firm)
  • No regulatory open cases.
  • Enthusiasm to learn, coupled with a solid work ethic and prioritize tasks and respond to changing priorities in a client service context.
  • Working knowledge of Excel, Word, and PowerPoint.


IMC is a world-renowned market maker with offices in Europe, the US and Asia-Pacific. We use algorithmic trading and advanced technology to buy and sell securities across multiple trading venues. Our vital role, at the centre of the financial markets, provides liquidity for buyers and sellers worldwide.

In the late 1980s, IMC quickly identified the importance of technology in the fast-evolving trading environment. Our passion for innovation continues to drive us today. Although our company has grown rapidly over recent decades, we still approach our work with the same entrepreneurial spirit, with an emphasis on continuous improvement and innovation. We like our people to think for themselves and we give them the responsibility and support they need to make an impact. This means real work as well as dedicated training programmes and mentors.

While we work hard, we also have a lot of fun – whether solving complex problems or taking part in team-building, leisure and sporting activities. IMC also enables its employees to contribute to a better society through our foundation.

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