Senior Compliance Executive – Exchange & Prop Trading

Pashupati Capital; Mumbai; On-site; INR 800,000 - 1,200,000; Full time

Benefits offered by this job

Competitive base salary

Performance bonuses

Health insurance

Wellness programs

Career development

Exchange-facing exposure

Job summary

Pashupati Capital Services is hiring a Senior Compliance Executive to own exchange compliance end to end for prop trading and algo activities in Mumbai. This on-site role requires drafting responses, tracking deadlines, and closing observations with documentation.

You will manage NSE/BSE/MCX submissions, monitor circulars, and coordinate with IT, operations, and risk teams. Strong regulatory English and CS/NISM credentials help you succeed.

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, without needing a draft from management.

Responsibilities

• Own prop and algo compliance: registration, renewal & surrender; track records; monitor order-to-trade ratio.
• Draft clear replies to exchange alerts within timelines; perform root-cause analyses.
• Own compliance calendar for NSE/BSE/MCX submissions; ensure timely filings.
• Track NSE, BSE, SEBI circulars daily; flag applicability and drive IT/risk actions.
• Coordinate internal, system and cyber audits and exchange inspections; close observations.
• Oversee client-side compliance: KYC/UCC, AML checks, SCORES/ODR, investor disclosures.
• Maintain compliance registers and monthly status reports; guide junior team.

Skills

Regulatory compliance

Stock exchange

Regulatory reporting

Written English

Coordination

KYC/AML

Education

B.Com

M.Com

CS

Job description

# Senior Compliance Executive – Exchange & Prop TradingBe a part of an innovative team at the forefront of financial markets. We’re shaping the future of global trading, wealth management, and investment solutions.Full TimeMumbaiOn-Site4+ Years### Job DescriptionPashupati 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* 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, 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.### 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 environment.