17 Depository Participant Jobs

You will be responsible for the following key activities as a Compliance Manager at PlusWealth Capital Management: - Handling Compliance activities related to Stock Broker and Depository Participant towards various regulatory bodies such as SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA, MCA, ROC, GIFT Authority, SEZ Operations, and AIF (Alternative Investment Fund Cat-3). - Coordinating regularly with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, and Vendors. - Managing Daily, Monthly, Quarterly, Half-yearly, and Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Cust...

As a Principal Compliance Officer at PlusWealth Capital Management LLP, your role is pivotal in ensuring the firm's full compliance with SEBI and exchange-related regulations. You will work collaboratively with leadership, legal, trading, and operations teams to uphold integrity and operational discipline. **Key Responsibilities:** - Handling Compliance activities w.r.t Stockbroking 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, Vendor, Consultants -...

Role & responsibilities 1)Managing Compliance of Branches of Retail Broking 2)Managing CRM application 3)Managing Loan against shares applications 4)Mapping of CTCL logging 5)Opening/ Closure and Merger of accounts 6)Managing Admin related activities at Branch level 7)Managing Pay outs. 8) Handling client queries and KYC 9)Managing Front Desk

Job Specifications Department : Broking and Distribution Role Designation : Internal Audit Function : Broking and Distribution Location: Malad Job Purpose The Internal Auditor will be responsible for conducting thorough audits of various operations, including depository participant operations, custody operations, settlement operations, banking operations within broking, and the payin and payout processes of security and fund transfer of exchanges. The role involves performing half-yearly audits of exchanges and ensuring compliance with regulatory requirements and internal policies. Key Deliverables - Depository Participant Operation Audit: Conduct comprehensive audits of depository participa...

INVES 21 seeks an Operations Executive (1-3 Years experience) in Hyderabad. Role: back-office ops, NSDL depository, demat/trading a/c, compliance & trade support. Graduate req., M.Com/MBA pref., strong comms & discipline a must. Free meal Food allowance

Job Specifications Department : Broking and Distribution Role Designation : Internal Audit Function : Broking and Distribution Location: Malad Job Purpose The Internal Auditor will be responsible for conducting thorough audits of various operations, including depository participant operations, custody operations, settlement operations, banking operations within broking, and the payin and payout processes of security and fund transfer of exchanges. The role involves performing half-yearly audits of exchanges and ensuring compliance with regulatory requirements and internal policies. Key Deliverables - Depository Participant Operation Audit: Conduct comprehensive audits of depository participa...

You will be joining PlusWealth Capital Management, a high-frequency trading organization that has been a pioneer in innovative trading solutions since 2008. As a Compliance Manager, your role will involve shaping the future of trading by handling various compliance activities related to Stock Broker and Depository Participant towards regulatory bodies such as SEBI, Stock Exchanges, Depository, and other relevant entities. Your responsibilities will include but are not limited to: - Coordinating with a wide range of stakeholders including Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, and Vendors on a regular basis - Ensuring compliance with Daily, Monthly, Quarterly, Half-...

We are hiring a qualified Company Secretary (CS) to manage secretarial compliance, legal documentation, and governance across group companies. And involves close coordination with management, regulators, and investors. Contact on 92744 84842

We are actively seeking a meticulous and knowledgeable Internal Audit Depository Executive to join our client's team through Acme Services . This pivotal role is responsible for ensuring compliance and operational integrity within depository functions. The ideal candidate will possess a strong understanding of Depository Participant operations , adherence to SEBI and Depository guidelines (NSDL/CDSL) , knowledge of DP regulations , and practical experience in Internal Audit processes related to depositories. Key Responsibilities Depository Participant Operations : Gain a deep understanding and provide audit oversight for all aspects of Depository Participant operations . Regulatory Complianc...

Job Purpose CDSL (Central Depository Services Limited) is an agent of the depository and provides a link between the account holder or beneficial owner, the Issuing Company, CDSL, the BOs broker, and the Stock Exchange. Duties and Responsibilities • Sending grievances to CDSL. • Opening new demat accounts of clients. • Updating existing clients' demat account bank details. • Downloading CDSL files. • Uploading & checking holdings. • Modifying confirmation letters/closing letters and sending it to the clients. • Updating POA register. (Power Of Attorney) • Allotting UCC code. (Unique Client Code) • Maintaining registers on a daily basis. Qualifications • Education: Any Graduate/Post Graduate/...

Position Overview: The DP Operations Team Lead is responsible for overseeing the day-to-day operations related to Demat accounts, ensuring the accurate and timely processing of all transactions. The Team Lead plays a crucial role in managing smooth operations for demat/remate, and transmission processing, as well as coordinating with internal and external stakeholders. Key responsibilities include supervising the handling of client deliverables such as CML/DIS issuance, addressing client queries, and overseeing the processing of delivery instructions, as well as pledge and unpledge requests & handling the billing process. The Team Lead is also responsible for managing a team, ensuring high o...

Job Specifications Department : Broking and Distribution Role Designation : Internal Audit Function : Broking and Distribution Location: Malad Job Purpose The Internal Auditor will be responsible for conducting thorough audits of various operations, including depository participant operations, custody operations, settlement operations, banking operations within broking, and the payin and payout processes of security and fund transfer of exchanges. The role involves performing half-yearly audits of exchanges and ensuring compliance with regulatory requirements and internal policies. Key Deliverables - Depository Participant Operation Audit: Conduct comprehensive audits of depository participa...

Roles and Responsibilities: Company Secretary will be required to carry out the following roles and responsibilities - Ensure compliance with SEBI (Stock Brokers) Regulations, 1992 and SEBI (Depositories and Participants) Regulations, 2018. Track circulars and notifications issued by SEBI and ensure timely implementation. Ensure compliance with the rules, operating instructions (OIs), and guidelines issued by CDSL for DPs. Timely submission of reports such as net worth certificates, internal audit reports, concurrent audit reports, and system audit reports to CDSL. Comply with Companies Act, 2013, AML Guidelines, etc. File ROC returns, maintain statutory registers, and conduct board/general ...

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

Existing experience in DP Operations is Mandatory Pledge/Unpledged, Repledge/Unrepledge of Shares as Collateral. BO ID Creation / Modification / Closure. Well versed with KYC guidelines of CDSL/ NSDL and SEBI and Demat account opening.

Responsible for day to day activities related to onboarding of issuer DP Participants Co-ordinate with SEBI/ exchanges/ market participants Prepare MIS/Reports and agenda & minutes of various meetings Working on SEBI queries/Regulatory submissions Required Candidate profile Min 10+ yrs exp in capital markets in DP-Ops/ Clearing & Settlement /Market Infra Institutions Team Leadership Experience is a must Good analytical and verbal & written Communication Skills Perks and benefits 40% additional Performance Bonus + Mediclaim

Vachana Investments is hiring for a Head of the operations:- Role & responsibilities :- Take complete end-to-end ownership of all operations verticals including KYC, DP, RMS, Compliance, Settlements, Trade Processing. Maintain deep product and industry knowledge to support strategic decision-making. Lead, train, and mentor the operations team to achieve overall revenue targets and operational goals. Conduct one-on-one coaching sessions with underperforming advisors to improve their performance. Oversee flawless execution of daily operations such as NSE & BSE trade settlements, IPO & Mutual Fund backend processing, and regulatory reporting. Hands-on involvement in the complete back-office ope...