Sr Compliance Executive - Exchange & Prop Trading

Pashupati Capital Services; Mumbai; Sur place; INR 900 000 - 1 500 000; Plein temps

Avantages offerts par ce poste

Performance-based bonuses

Health insurance

Career development

Collaborative environment

Résumé du poste

Pashupati Capital Services in Mumbai is seeking a Senior Compliance Executive (4-7 years) to own end-to-end exchange compliance. You will draft replies, manage the compliance calendar for NSE/BSE/MCX, track circulars, and coordinate audits with IT, operations and risk.

The role requires hands-on experience with algo approvals, surveillance responses and periodic filings, plus strong regulatory English writing. On-site work at Goregaon West is expected.

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.

Responsabilités

• 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.

Connaissances

Regulatory compliance

Regulatory reporting

English writing

Audit coordination

Stakeholder coordination

Formation

B.Com, M.Com or CS

NISM Series III-A

Description du poste

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

• 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 SEBIs 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.