Pashupati Capital Services is a SEBI-registered stockbroker (NSE, BSE, MCX) that runs hedged algorithmic strategies on its own account alongside a broking business. We are looking for a Senior Compliance Executive (4-7 years) to own exchange compliance end to end - someone who drafts the reply, tracks the deadline and closes the observation without being chased.

Principal Responsibilities

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

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, on-site at Goregaon West (Saturday around six hours).

Preferred Qualifications

- Exposure to MCX and GIFT IFSC compliance.

- Experience with SEBIs cybersecurity framework (CSCRF) and cyber audit evidence.

Compensation & Benefits

Compensation & Benefits

- Competitive base salary with performance-based bonuses.

- Comprehensive health insurance and wellness programs.

- Direct exposure to exchange-facing compliance for a live algorithmic trading business.

- Opportunities for professional development and career advancement.

- Collaborative and inclusive work setting.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 Sr Compliance Executive - Exchange & Prop Trading (Mumbai)
🏢 Pashupati Capital Services
📍 Mumbai