Senior Compliance Executive

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 clear, 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