Principal Responsibilities
Own prop and algo compliance: algo ID registration, renewal and surrender, mock/simulation participation records and order-to-trade ratio monitoring.
Draft explicit, 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 accurate 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, on-site 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

Advantages:
Health insurance
Life insurance

Work Location: In person

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