Open Position
Be 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 Time
Mumbai
On-Site
4+ Years
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.
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.
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.
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.
CONTACT US