Compliance Auditor

*Compliance Auditor* with 2+ years of capital market work experience required in a *reputed organisation* located at *Baroda*, Gujarat

JD:

- *Conduct audits of Depository Participants (DPs)* per SEBI, NSDL/CDSL guidelines, covering account opening, KYC documentation, transaction verification, and system security controls

* Ensure compliance with SEBI (Depositories and Participants) Regulations, 2018, and assess back-office systems, transaction reporting, and reconciliation with client ledgers

* *Evaluate client data security measures, including access controls, password policies, and disaster recovery systems*

* Monitor adherence to PMLA norms, including KYC periodicity, suspicious transaction reporting (STR), and AML measures

* *Prepare audit reports highlighting non-compliance, recommending corrective actions, and tracking closure of observations*

* Liaise with compliance officers, DP operations teams, and senior management to resolve regulatory issues before submission deadlines

- *Review client modifications, closures, freezing/unfreezing, demat/remat, DIS, pledging, and transfers*

- Develop and implement audit procedures & risk assessment frameworks

- *Ensure compliance with NSDL/CDSL/Exchange/SEBI regulations*

Salary up to *Rs 10 lakh per annum*

Kindly share CV on *shadabpatel93@gmail.com* with subject line *DP - Baroda* mentioning your current salary, expected salary, notice period and reason to quit current organisation

Job Type: Full-time

Pay: Up to ₹1,000,000.00 per year

Application Question(s):

• What is your current monthly salary?
• What is your expected monthly salary?
• How soon can you join if shortlisted? (in days)

Work Location: In person