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Compliance Executive

Pashupati Capital Services (PCS) is SEBI registered stockbroker. We are seeking an experienced Compliance Executive for our Mumbai location.

Pashupati Capital Services (PCS) is SEBI registered stockbroker. We are seeking an experienced Compliance Executive for our Mumbai location.We are seeking an experienced and highly skilled Compliance Executive for compliance-related work to join our dynamic team at Pashupati Capital Services Pvt Ltd.

Roles and Responsibilities

  • Conducting regular assessments of trading activities to ensure compliance with relevant laws and regulations.
  • Collaborate with cross-functional teams to develop and implement compliance strategies and procedures.
  • Coordinating with the auditor and preparing various exchange or SEBI compliances like Internal, System or Cyber audit reports.
  • Coordinating with GIFT IFSC entity to ensure smooth compliance.
  • Monitoring and reporting on changes in regulatory requirements and ensuring our HFT Algo strategies align with evolving compliance standards.
  • Participating in the development of compliance training programs for employees engaged in trading activities.
  • Coordinating with regulatory agencies and responding to inquiries as needed.
  • Contributing to the development and maintenance of compliance documentation and reports
  • Should have good communication and be proficient with communication (Email and Phone).

Technical Skills 

  • Should have sound knowledge in Regulatory compliance.
  • Should have experience of Exchange and SEBI/RBI audits.
  • Should be proficient with Compliance reviews.
  • Should know about Securities.

Interpersonal Skills

• Excellent problem-solving skills, attention to detail, and the ability to work effectively in a fast-paced, collaborative environment.
• Strong communication skills, with the ability to explain concepts to stakeholders


• 5 yr.+ experience working in a stockbroking company/NSE/BSE.
• Comprehensive knowledge of  Regulatory/SEBI/Exchange  compliance
• Bachelor's or master’s degree in finance related field. (B. Com), (M. Com)
• Preferred certificates in Finance and compliance .

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Sounds like you

Posted On

03 Jul 2024


806, Dlh Park, Swami Vivekananda Rd, Malad, Adarsh Nagar, Goregaon, Mumbai, Maharashtra 400104


Compliance Executive