Principal Responsibilities

- Own prop and algo compliance: algo ID registration, renewal and surrender, mock/simulation participation records and order-to-trade ratio monitoring.
- Draft clear, factual replies to exchange surveillance alerts and queries within the given timelines and limits, and prepare root-cause analyses.
- Own the compliance calendar for every periodic NSE, BSE and MCX submission, including common submissions on NSE ENIT – nothing missed, nothing late.
- Track NSE, BSE and SEBI circulars daily, flag what applies to us and drive implementation with IT, operations and risk.
- Coordinate internal, system and cyber audits and exchange inspections, and close observations with evidence.
- Oversee client-side compliance: KYC/UCC, PMLA/AML checks, investor grievances (SCORES/ODR) and investor-awareness disclosures.
- Maintain compliance registers and documentation, and send management a monthly compliance status report.




- Guide the junior compliance team on day-to-day work and coordinate with our GIFT IFSC entity where required.

Job Requirements

- 4–7 years in compliance at a stockbroker, proprietary/algorithmic trading desk or exchange.
- Hands-on experience with algo approvals, surveillance replies, exchange inspections and periodic filings.
- Writes precise regulatory English independently, without needing a draft from management.
- B.Com, M.Com or CS. NISM Series III-A preferred; must be cleared within three months of joining.
- Monday to Saturday, in office at Goregaon West (Saturday around six hours).

Preferred Qualifications

- Exposure to MCX and GIFT IFSC compliance.
- Experience with SEBI's cybersecurity framework (CSCRF) and cyber audit evidence.

Pay: Up to ₹1,500,000.00 per year

Benefits:

- Health insurance
- Life insurance

Work Location: In person

📌 Senior Compliance Executive – Exchange & Prop Trading (Mumbai)
🏢 Pashupati Capital Services
📍 Mumbai