Job Position
Deputy Compliance Officer
Job Description
PCSPL is seeking a Deputy Compliance Officer who will be responsible for managing and supporting regulatory compliance for PCSPL’s broking and trading operations. The role requires hands-on experience with NSE, BSE, and SEBI compliance matters, audit coordination, regulatory filings, and interaction with exchanges/regulators. Prior exposure to a trading or high-frequency/algorithmic trading environment is preferred.
Principal Responsibilities
Monitor and implement regulatory requirements issued by SEBI, NSE, and BSE.
Handle exchange compliance filings, submissions, and correspondence.
Coordinate internal, system, and cyber audits and ensure timely closure of observations.
Track regulatory circulars and ensure implementation across relevant teams.
Support compliance oversight of trading and algorithmic / HFT activities.
Maintain compliance documentation, registers, MIS, and reporting.
Respond to exchange/regulator queries and support inspections/audits.
Coordinate with internal teams, including operations, risk, technology, and management, to ensure regulatory adherence.
Support GIFT IFSC-related compliance matters, where applicable.
Assist in employee compliance training and awareness.
Job Requirements
2–4 years of relevant experience in stock broking / capital market compliance.
Mandatory hands-on knowledge of NSE, BSE, and SEBI compliance requirements.
Experience in exchange filings, audit coordination, and regulatory query handling.
Familiarity with internal/system/cyber audit processes.
Exposure to HFT / algo compliance will be preferred.
Knowledge of GIFT IFSC compliance will be an added advantage.
Relevant educational qualifications and NISM certifications as applicable.
Strong documentation, communication, and coordination skills.
SQL / data handling knowledge will be a plus.
Other Details
Holidays will be provided as per the NSE/BSE holiday calendar
Hours of work: Monday to Saturday - 10:30 AM to 07:30 PM. Saturday – 5-6 Hours
Salary varies by depth of experience/skills and last drawn CTC
If you can't find a suitable opening and want to apply then please fill the application, tell us about yourself and your passion for finance.