Job Description
Pashupati Capital Services (PCS) is a registered stockbroker focusing on proprietary trading. We are seeking an experienced Dealer for our Mumbai location.
Principal Responsibilities
- Ensure timely SEBI, exchange, and depository reporting (daily/weekly/monthly).
- Handle SEBI/exchange audits, inspections, and draft responses to regulatory queries (group companies).
- Stay updated on regulatory changes and revise internal policies accordingly.
- Oversee KYC, AML, and internal compliance procedures to establish robust business expansion into HNI, FPI and Institutional Broking.
- Conducted board, committee, and general meetings across group companies.
- Draft/review minutes, maintain statutory registers, and manage company records.
- Handle all ROC filings—annual returns, event-based forms, and resolutions.
- Ensure compliance with the Companies Act, SEBI Rules, RBI Rules, IFSCA guidelines, and FEMA.
- Liaise with regulators, auditors, and legal advisors on corporate governance matters.
Job Requirements
- Educational Qualifications: Professional qualification of a Company Secretary is a must.
- Minimum of 8-10 years of progressive experience in compliance within the stock broking industry, with at least 3 years in a leadership role.
- Strong knowledge of SEBI regulations, ROC guidelines, IFSCA Rules, exchange guidelines, and stock broking compliance requirements.
- Excellent analytical, problem-solving, and decision-making skills.
- Exceptional communication, negotiation,
