26 Depository Jobs

About the Company - PlusWealth Capital Management , a high-frequency trading organization established in 2008, is a leader in innovative trading solutions. Join us as a Compliance Manager to shape the future of trading. Responsibilities - Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3) Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, Consultants Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF) Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc Reviewing E-mail boxes of all the entities mentioned above on daily basis to ensure every important communication gets addressed by the authorities Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis In addition to the above roles and responsibilities, the person will also overlooking / supervising / performing daily tasks as mentioned in attached tasks list of Compliance and DP departments Show more Show less

As India's leading financial services and broking company with over 900 investment centers nationwide, Arihant Capital is dedicated to making investments and financial services more understandable and accessible to all. We prioritize customer focus and aim to cultivate an inclusive environment where our employees can excel and make a meaningful impact. You will be responsible for overseeing the entire online sales team to ensure optimal performance. This includes servicing existing retail clients and sub brokers, as well as generating leads through established client relationships. Managing queries, limits, and risk management of online clients will be a key aspect of your role. Additionally, you will play a crucial part in brand promotion to drive sales and cross-selling various products such as equity, depository, mutual fund, IPO, Bonds, currency, commodity, and financial planning services to clients. To excel in this role, you should hold a Graduate/MBA qualification with at least 4-5 years of experience in the broking or finance sector. Previous experience in leading teams in customer-facing roles with a strong focus on achieving results is essential. Your ability to empower and motivate others to deliver exceptional client service and operational performance will be crucial. Demonstrated commitment to ethical, empathetic, and proactive client interactions is highly valued. Candidates with an established client base and proven revenue generation capabilities are preferred. Excellent communication skills in English and Hindi are required, with proficiency in local languages considered advantageous. Additionally, providing or arranging regular product training for staff members is part of the role to ensure continuous development and growth.,

Assist Compliance Officer in compliance duties for regulations & rules issued by SEBI Monitor the resolution of client grievances for all projects Support the Compliance Officer in monitoring the compliance of Operations Provide regular reports Required Candidate profile Understanding of compliance regulations Compliance-related duties for regulations and rules issued by SEBI under KRA Regulation, UIDAI, CCA, GSTN, or the Central Government. Contact-Ankit-8104808547

To be responsible for supporting all middle/back office operational activities in Mumbai office for listed derivatives Cash Equity products. Main Responsibilities: Operational Excellence: Sound understanding of Indian capital market, Clearing House, Custody, Depository SEBI regulatory framework. Role entails KYC/KRA, responding to clients process related queries, trade processing, contracting, sending STP to custodians, bank reconciliations, and any other related activities for Cash Equity Derivative markets. Perform operational activities. Perform EOD related activities proactively escalate if any issues encountered. Ensure strict adherence to internal and external process guidelines. Would also be required to liaise with Exchange for debit notes, circulars, etc. work with custody, settlement, Client fund management, regulatory reporting etc. Work closely with Compliance to ensure legal, regulatory and audit requirements are complied with. Manage monthly MIS and other reports from time to time. Interfaces with regional team on all operations related matters Need to take corrective actions, when necessary, take ownership of issues in hand to see through till closure. Client and Relational Excellence: Maintain and establish good relationship with Business line (MARK), Regional Management, Clients, Vendors. Collaborate to deliver noticeable result. Manage escalations with a sense of client centricity commitment. Demonstrate responsibility, trustworthy agility. Participate in projects, NPCs new client onboarding initiatives People and Culture: Participate in team meetings/White board. Instill team work culture towards achieving goals at a team level. Demonstrate SG core values: Team Spirit, Innovation, Responsibility commitment with client centric approach as a core element. Digital Innovation: Think innovatively on the BAU area assigned to come up with process improvement ideas. Help team manager in various efficiency initiatives. Profile required Academic Background (degree and major): Post-Graduation Relevant Working Experience in number of years: Minimum 5 years of experience working for Indian Market Skills Competencies required: Candidate from broking experience with independent client servicing skills preferred (Preferred) Working knowledge of industry related systems including Bancs is desired (Preferred) Working knowledge and understanding in brokerage operations and local regulations of NSE and BSE including KYC matters Product knowledge on financial futures and options products and other investment vehicles is essential Proactive, self-motivated and team player mentality (with hands-on approach); Effective verbal written communication and presentation skills. Need to have knowledge to manage treasury accounting activities on daily basis

We are hiring for a Depository Executive role and are looking for candidates with the following skill set Depository Participant operations, SEBI, Depository guidelines in NSDL/CDLS, DP regulations, Internal audit .

We are hiring for a Depository Executive role and are looking for candidates with the following skill set Depository Participant operations, SEBI, Depository guidelines in NSDL/CDLS, DP regulations, Internal audit .

We are hiring for a Depository Executive role and are looking for candidates with the following skill set Depository Participant operations, SEBI, Depository guidelines in NSDL/CDLS, DP regulations, Internal audit .

We are hiring for a Depository Executive role and are looking for candidates with the following skill set Depository Participant operations, SEBI, Depository guidelines in NSDL/CDLS, DP regulations, Internal audit .

We are hiring for a Depository Executive role and are looking for candidates with the following skill set Depository Participant operations, SEBI, Depository guidelines in NSDL/CDLS, DP regulations, Internal audit .

We are hiring for a Depository Executive role and are looking for candidates with the following skill set Depository Participant operations, SEBI, Depository guidelines in NSDL/CDLS, DP regulations, Internal audit .

We are hiring for a Depository Executive role and are looking for candidates with the following skill set Depository Participant operations, SEBI, Depository guidelines in NSDL/CDLS, DP regulations, Internal audit .

Back Office Executive who should have knowledge of capital markets, equity shares, depository operations (NSDL/CDSL). Responsible for supporting operational activities,coordinate with stakeholders to facilitate transactions in the securities market. Required Candidate profile Handle daily back-office operations related to capital market transactions Good in MS Office (Excel, Word) Perform activities-trade settlements, demat/remat requests, pledge, unpledge of shares Perks and benefits To be disclosed post interview

Allocation of ISINs to various financial instruments including Equity Shares, Preference Shares, Warrants, etc. Verification of documents received for allocation of ISINs and accordingly allocating and activating ISINs in NSDL system. Required Candidate profile Allocation of ISINs based on request from another depository. Preparation of various MIS Co-ordination with Issuers / RTAs Handling other department activities in absence of team members Perks and benefits To be discussed post interview

The Asst. Manager-Depository Ops will handle daily CDSL/NSDL tasks, ensure regulatory compliance, process transactions, manage client servicing, and coordinate with internal teams to ensure efficient and smooth functioning of depository operations. Required Candidate profile Handle daily CDSL/NSDL ops incl. demat, pledge, transfers Ensure timely reporting, reconciliation Manage DIS slips, client query Coordinate audit, SEBI compliance Support MIS, team training & docs

1Mutul fund DRF, 2Normal Pledge, 3Account Closure 4DIS Scan in CDSL 5Holding file download Required Candidate profile Required only Male Candidate Have experience of Demat operations, DP registration Should be good in typing For further details connect on shweta.rajput@tradebulls.in or 8422827225

Role & responsibilities Bachelors degree in accounting or other qualifications relevant to the accounting/finance industry. 0-2 years of relevant/accounting work experience. Good knowledge of Capital Markets and Financial instruments. Basic knowledge of end to end product and process, multiple market and regulations. Good knowledge in accounting principles, fundamentals of Accounting. Proficiency in EXCEL essential. Ability to Speak and understand English. Basic knowledge in custody, brokerage, depository, investment accounting, mutual funds and reconciliations. Graduate/CA/ ICWA/ CS / PGDBM/MBA in Finance or CFA (D interested candidates please share your updated resume to Joyita BASU- joyita.basu@hsbc.co.in

Managing SEBI related compliances for broking houses Ensure routine compliance with the regulatory requirements of stock exchanges Monitor and review all circulars, notifications, and guidelines issued by regulatory authorities such as SEBI and stock exchanges. Manage letter of observations received from Exchanges. Implement Key circulars from Exchanges and SEBI. Submit various reports within due date to regulatory authority: Internal audit, Cyber security audit, system audit, Risk based supervision, Annual Returns Liaison with product and tech teams to integrate SEBI and Exchange approved features

To add value and improve operations by bringing a systematic and disciplined approach to the effectiveness of risk management, control, and governance processes. Plan and execute audit engagements, including data analysis and testing. Required Candidate profile Perform and control the full audit cycle including risk management and control management over operations’ effectiveness, financial reliability and compliance with all applicable directives and regu

Core Responsibilities Understands and manages document verifications for customer applications. Supervises the team & allocates tasks as per targets. Monitors productivity of the team. Meets timelines & SLAs. Highlights any internal errors committed by the Processor & take necessary action(s). Conducts team huddles / briefings on regular updates, case studies and feedback Reviews processes for gaps and improvements. Verifies & publishes various MIS, business newsletters, management reports, presentations as per business requirements; Participates in launch/implementations of any new Products and Processes; Formulates process improvement ideas/projects in the unit resulting in cost saves or productivity improvements. Ensures that processes laid down are followed in case of contingency. Supports the unit managers in preparation of any audit related deliverables i.e. internal / external, ISO, Regulatory, Statutory, etc. Attend to any audit findings and resolve them immediately; People Management Monitors and enables the achievement of goals and key performance indicators for direct reports and ensures effective implementation of the performance management process in the section. Implements the risk policies and processes (operational, regulatory, financial, Minimum Qualifications Graduate/ Postgraduate/ MBA from a recognized university/premium business school. Professional Certifications Must have cleared NISM Depository Module. Diploma in Banking would be added advantage. Language Skills Fluent in written/spoken English & Regional languages

locationsPune - West time typeFull time posted onPosted 30+ Days Ago time left to applyEnd DateApril 29, 2025 (10 hours left to apply) job requisition idJR-0007887 The Role & Key Responsibilities : Quality Governance on Global/Regional specific client KYC operational desks Act as a first point of contact for client issues relating to KYC matters. As part of the New Business Client KYC process, the candidate will be expected to provide regular status updates to new clients and internal stakeholders. Weekly Client KYC calls to held with stakeholders and project / remediation plans should be maintained to track the progress and its completion. Manage the internal review process across different products and services within the fund administration, depository and other product lines. Provide day to day client KYC onboarding advice across all Apex Group business lines to the best meet their business needs and maintaining good working relationships through active communication, facilitation and teamwork. Support the wider onboarding team where required. Provide technical guidance to the team in their assigned job duties Ensure quality and timely delivery of work, escalate to KYC Head where appropriate Effective utilization of FTs (full time employees), publish the MIS on user productivity and Quality to the management Ensure the teams are kept up to date with changes to the Company Applications. Preparation of MIS/KPI regarding Client deliverables. Preparation of specific MIS/KPI upon management request. Analysis of MIS/KPI and provide comments/conclusion. Send out MIS/KPI for review and follow up for comments Participate as end user in KYC Tool Development projects Make recommendations and ensure incorporation of process improvements Ensure reporting deliverables are produced and reviewed to a high standard and delivered in a timely manner. Weekly/Monthly Connects with regional Compliance to ensure the CDD guidances are maintained and followed UpToDate Train the team on subject matter and run the assigned function/region smoothly Any other tasks may be assigned by the Head of Client KYC Operations. Qualifications and skills required An individual with a bachelor/masters degree qualification or equivalent. A minimum of 10-15 years of Client KYC experience within the investment fund industry or equivalent A good knowledge of the funds industry, experience of different fund structures, domiciles and regulatory requirements ' Excellent communication, interpersonal and problem-solving skills Excellent time management and planning skills to deliver against agreed deadlines and objectives. Knowledge of Global/regional specific Due Diligence, Compliance and Financial Structures High attention to detail, accuracy, analytical, technical, organizational, and problem-solving skills. Proactive and have the knowledge and skills to use own initiative in handling clients queries and escalate to management when required. Ability to run and deliver on multiple projects and assignments. High level of Client KYC technical skills is a must Adaptable and flexible to changes What you will get in return: A genuinely unique opportunity to be part of an expanding large global business Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly To be successful in these roles, it is envisaged that you are a motivated and self-driven individual eager to contribute and grow with the organization.Knowledge of financial products and environments along with prior fund experience will ensure your success. Critical to your ability to perform these roles will be your customer focus, attention to detail and team focus. We offer a modern and progressive work environment.You can expect to be challenged and offered a path towards future career growth. Additional Information: We are an equal opportunity employer and ensure that no applicant is subject to less favorable treatment on the grounds of gender, gender identity, marital status, race, color, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependents, physical or mental disability. Any hiring decision are made based on the skills, qualifications, and experiences. We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society, and the planet. For more information on our commitment to Corporate Social Responsibility (CSR)) please visit https://theapexgroup.com/csr-policy/

Responsible for day to day activities related to admission of issuer companies & subsequent app in Admission Cell. Co-ordinate with RTAs/Issuer Companies/Exchanges/market participants & other Dept. Preparing various reports/MIS Required Candidate profile Min 1-6 yrs exp in capital markets in DP-Ops in MII'S Well conversant with depository operations and Dmat Account Opening & Closing Good analytical and verbal & written Communication Skills

Handle trade settlements, affirmation/confirmation, and custody/depository coordination for securities traded in equity and fixed income markets. Track failed trades, ensure timely settlements, monitor currency balancing and related reconciliations. Required Candidate profile Provide training and support Review complex transactions and assist in issue resolution in coordination Supervise a small team and monitor day-to-day settlement activities. Perks and benefits Perks and Benefits

Account Opening, Dematerialization/Rematerialization,Transmission,Pledge,Margin Pledge/Freeze/Unfreeze,etc Verify and process client documentation in line with SEBI & DP norms Monitor & Manage DP systems(e.g., Local DPM, eDPM, NDML, IDeAS, DP Secure) Required Candidate profile DP Back Office Compliance & Doc. etc. Coordinate with RTAs,NSDL&internal Depts.,for Operational Activities Process DIS slips&oversees off-market/inter-Depository Transfers Male Candidate below age 35 Perks and benefits Performance Bonus

Assist Compliance Officer in compliance duties for regulations & rules issued by SEBI Monitor the resolution of client grievances for all projects Support the Compliance Officer in monitoring the compliance of Operations Provide regular reports Required Candidate profile Understanding of compliance regulations Compliance-related duties for regulations and rules issued by SEBI under KRA Regulation, UIDAI, CCA, GSTN, or the Central Government. Contact-Ankit-8104808547

Reference 250009UD Responsibilities Job Summary: Societe Generale Securities India Private Limited (SGSI) is registered as stockbroker with the Indian capital marketsregulator ?Securities and Exchange Board of India? (SEBI) It is a member of the National Stock Exchange, Bombay Stock Exchange and Metropolitan Stock Exchange of India, and is enrolled on Capital market, Futures & Options and Currency Derivatives segment, This is an individual contributor role The selected candidate will be part of Global Banking Technology & Operations (GBTO) department & responsible to support all middle/back office operational activities in Mumbai office for listed derivatives & Cash Equity products, Main Responsibilities: Operational Excellence: Sound understanding of Indian capital market, Clearing House, Custody, Depository & SEBI regulatory framework, Role entails KYC/KRA, trade processing, contracting, sending STP to custodians, bank reconciliations, and any other related activities for Cash Equity & Derivative markets, Perform operational activities Perform EOD related activities & proactively escalate if any issues encountered Ensure strict adherence to internal and external process guidelines, Would also be required to liaise with custody, settlement, Client fund management, regulatory reporting etc Manage monthly MIS and other reports from time to time, Interfaces with regional team on all operations related matters Need to take corrective actions, when necessary, take ownership of issues in hand to see through till closure, Client and Relational Excellence: Maintain and establish good relationship with Business line (MARK), Regional Management, Clients, Vendors Collaborate to deliver noticeable result, Manage escalations with a sense of client centricity & commitment Demonstrate responsibility, trustworthy & agility, People and Culture: Participate in team meetings/White board Instill teamwork culture towards achieving goals at a team level Demonstrate SG core values: Team Spirit, Innovation, Responsibility & commitment with client centric approach as a core element, Digital Innovation: Think innovatively on the BAU area assigned to come up with process improvement ideas, Help team manager in various efficiency initiatives, Required Profile required Academic Background (degree and major): Graduate/Post-Graduation Relevant Working Experience in number of years: NIL (candidate With Internship Experience In Similar Field Preferred) Skills & Competencies required: Theoretical knowledge and understanding in brokerage operations and local regulations of NSE and BSE including KYC matters (Preferred) Product knowledge on financial futures and options products and other investment vehicles is a must Proactive, self-motivated and team player mentality (with hands-on approach); Effective verbal & written communication and presentation skills, Team Spirit: Ability to build synergy within and outside of the team To have a collective and an open mindset To be able to listen actively & share information within the team & with other teams as well Ability to deal with conflicts proactively & in a positive mode Innovation: Ability to think out of the box & have a solution driven attitude Ability to propose new ideas & thoughts Ability to adopt new technologies in the solution & projects Ability to simplify things, promoting simplicity over complexity Responsibility: Ability to express ones conviction & act with courage Ability to make decision within the scope of ones responsibility Having a risk mindset Striving for high performance Commitment: Inspire others by communicating a clear vision and strategy embody the Groups values listen and demonstrate emotional intelligence to engage others Language Skills: Good command over written and spoken English is mandatory Computer Skill: Proficiency in MS Office applications such as Excel, Word, Power Point, etc Business insight Societe Generale Securities India Pvt Ltd (SGSI) is the stock-broking arm of Societe Generale Group (SG Group) and was one of the earliest foreign brokers to enter India SGSI started with a representative office in 1994 and established a full-fledged presence by 1995, SGSI is a Securities and Exchange Board of India (SEBI) registered Stock Broker with Trading and Clearing Membership and obtained membership of Stock Exchanges (National Stock Exchange, Bombay Stock Exchange and Metropolitan Stock Exchange) to provide services in various segments (Cash Equities, F&O, Currency & Debt) of Stock Exchange The Company has been active in the Stock Market since 1997, SGSI is managed by a team of professionals /specialists in the broking business The Company has a dedicated team of specialist dealers & traders to cater to the needs of institutional clients, The Company has established itself as a premium player in the institutional segment where quality service and best technology combined with best possible execution and clearing services The Company aims to specialize and develop capabilities in providing best quality execution and clearing services to its clients, Societe Generale is an equal opportunities employer and believes that a diverse and inclusive workforce should be encouraged and recognized, Diversity and Inclusion We are an equal opportunities employer and we are proud to make diversity a strength for our company Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination,