PCS 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.
Responsibilities
- Own prop and algo compliance: algo ID registration, renewal and surrender, mock/simulation participation records and order-to-trade ratio monitoring.
- Draft transparent, factual replies to exchange surveillance alerts and queries within the given timelines, and prepare root-cause analyses.
- Own the compliance calendar for every periodic NSE, BSE and MCX submission, including common submissions on NSE ENIT.
- 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 and coordinate with our GIFT IFSC entity where required.
Qualifications
- 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.
- B.Com, M.Com or CS. NISM Series III-A preferred; must be cleared within three months of joining.
- Exposure to MCX, GIFT IFSC compliance and SEBI CSCRF cyber audits is an advantage.
Work location and hours
On-site at Goregaon West, Mumbai. Monday to Saturday (Saturday around six hours).
Compensation
₹9 – 14 lakh per annum, plus performance-based bonus and health insurance.
How to apply
Apply through our careers page: https://www.pashupaticapital.com/career/compliance
📌 Senior Compliance Executive (Mumbai)
🏢 PCS
📍 Mumbai