12 Depository Participant Jobs

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 participant operations. Evaluate the effectiveness of controls and compliance with regulatory requirements. Custody Operation Audit: Perform audits of custody operations to ensure proper management and safeguarding of assets. Assess the accuracy and completeness of custody records and processes. Half-Yearly Audit of Exchanges: Lead and execute half-yearly audits of exchanges. Identify and report on areas of non-compliance and recommend corrective actions. Settlement Operations Audit: Audit settlement operations to ensure timely and accurate settlement of transactions. Review and evaluate the effectiveness of settlement procedures and controls. Banking Operations within Broking Audit: Conduct audits of banking operations within the broking division. Ensure compliance with internal policies and regulatory requirements. Payin and Payout Process Audit: Audit the payin and payout processes of security and fund transfers of exchanges. Verify the accuracy and timeliness of transactions and related documentation. Qualification & Experience CA. Minimum 4+ years of experience if CA and 10 years of experience if MBA/PG in a Broking firm. Strong understanding of depository participant operations, custody operations, settlement processes, and banking operations within broking. Knowledge of regulatory requirements related to exchanges and financial transactions..

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-yearly, and Annual requirements of the AIF, Stock Broking, and Depository Participant towards regulators like SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant, Auditors, and Investors - Managing Audits, Inspections & Investigations conducted by SEBI, IFSCA, Exchanges, Depositories, and other regulatory bodies on a scheduled or ad-hoc basis - Addressing ad hoc queries from Regulators, Investigation/Surveillance Divisions of Exchanges/Depositories, KRA, CERSAI, CKYC, FIU, Clients/Investors, and internal divisions of the organization - Reviewing daily communication received via email from relevant entities to ensure timely responses to important matters - Engaging with auditors, inspecting officials, stakeholders, vendors, and consultants on a regular basis - Supervising and performing daily tasks as outlined in the attached tasks list of Compliance and DP departments in addition to the above responsibilities Your role as a Compliance Manager will be crucial in ensuring the smooth functioning and adherence to regulatory requirements for PlusWealth Capital Management.,

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 Compliance : Ensure strict adherence to SEBI (Securities and Exchange Board of India) regulations and Depository guidelines specific to both NSDL (National Securities Depository Limited) and CDSL (Central Depository Services (India) Limited) . DP Regulations : Apply thorough knowledge of DP regulations to assess compliance within the depository framework. Internal Audit Execution : Conduct comprehensive Internal Audits of depository processes, identifying risks, control weaknesses, and areas for improvement. Reporting & Recommendations : Prepare detailed audit reports with findings and actionable recommendations to enhance operational efficiency and regulatory compliance. Issue Resolution : Follow up on audit findings to ensure timely implementation of corrective actions. Skills Strong understanding of Depository Participant operations . In-depth knowledge of SEBI and Depository guidelines in NSDL/CDSL . Familiarity with DP regulations . Practical experience in Internal Audit procedures related to depository functions. Excellent analytical skills with an eye for detail. Strong communication skills, both written and verbal. Ability to work independently and as part of a team.

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/Graduation Pursuing • Specialized knowledge/Certification NISM (Series 7) Interested candidates can share their CVs at sonia.pal@briskmind.in

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 operational efficiency, and compliance with regulatory requirements. Role & responsibilities: Supervise, and manage a team responsible for processing daily transactions related to Demat accounts, including credit/debit of securities, pledge/release, and Demat/remat requests, ensuring timely and accurate execution. Maintain accurate records of client transactions and holdings in the Demat system, ensuring proper reconciliation of processed requests. Ensure adherence to SEBI, CDSL/NSDL regulations, and other industry compliance standards in all DP operations. Oversee the resolution of client queries related to Demat transactions, holdings, and account status, ensuring timely and effective responses. Coordinate with internal teams, depositories, and external stakeholders for smooth processing of DP related transactions and issue resolution. Supervise data updates to ensure they are accurately reflected in the system and recorded in real-time. Monitor and improve team performance, ensuring optimal productivity and compliance with internal standards. Publish reports on Demat account activities, transaction statuses, and any discrepancies for management review. Provide training and support to team members on operational procedures, regulatory compliance, and best practices. Preferred candidate profile: Graduate in any stream NISM Certification (VI) Proficient in MS Office and relevant software applications. Strong knowledge of SEBI regulations, CDSL/NSDL depository procedures, and industry compliance standards. Minimum 3 to 5 years of experience in DP operations, securities processing, or a similar role within the financial services industry, including at least 1-2 years in a team lead or supervisory position. Excellent communication skills, both written and verbal, with the ability to manage team dynamics and client relationships effectively. Ability to lead a team, prioritize tasks, and work efficiently under tight deadlines. Strong problem-solving and decision-making abilities, with a focus on improving operational efficiency and compliance.

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 participant operations. Evaluate the effectiveness of controls and compliance with regulatory requirements. Custody Operation Audit: Perform audits of custody operations to ensure proper management and safeguarding of assets. Assess the accuracy and completeness of custody records and processes. Half-Yearly Audit of Exchanges: Lead and execute half-yearly audits of exchanges. Identify and report on areas of non-compliance and recommend corrective actions. Settlement Operations Audit: Audit settlement operations to ensure timely and accurate settlement of transactions. Review and evaluate the effectiveness of settlement procedures and controls. Banking Operations within Broking Audit: Conduct audits of banking operations within the broking division. Ensure compliance with internal policies and regulatory requirements. Payin and Payout Process Audit: Audit the payin and payout processes of security and fund transfers of exchanges. Verify the accuracy and timeliness of transactions and related documentation. Qualification & Experience CA. Minimum 4+ years of experience if CA and 10 years of experience if MBA/PG in a Broking firm. Strong understanding of depository participant operations, custody operations, settlement processes, and banking operations within broking. Knowledge of regulatory requirements related to exchanges and financial transactions..

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 meetings. Facilitate Board Meetings and General Meetings , including preparing agendas, drafting minutes, and ensuring resolutions are in compliance with laws. Maintain statutory registers and ensure proper disclosures by directors and KMPs. Advise the board on governance matters and ethical standards. Act as a liaison with SEBI, CDSL, NSE, BSE, ROC etc. Ensure proper internal control systems are in place for stock broking and DP operations. Coordinate with internal and statutory auditors. Ensure proper maintenance and retrieval of dematerialization and rematerialization records. File necessary disclosures to CDSL regarding changes in shareholding pattern, director/KMP changes, and other material events. Disclose financials, board composition, etc., to stock exchanges and regulators, as applicable. The Candidate must have membership number on the date of application for the vacancy. Interested candidates can mail their updated resume to hr.lma@lma.co.in and deepa.khimasia@frrshares.com.

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 operations ecosystem without dependency on others. Collaborate with compliance teams and external vendors to implement process and product updates smoothly. Ensure timely and accurate reporting to regulatory bodies including SEBI, NSE, BSE,CDSL Oversee client fund and security settlements, internal audits, margin obligations, and risk management. Maintain strong relationships with top clients of Vachana Investments. Enhance operational efficiency by implementing strong process controls, automation, and strict compliance adherence. Preferred candidate profile :- Male candidate with 10+ years of experience in the stock broking industry. Someone who is having hands on Risk Management, Compliance, KYC Operations and Depository Participant. Minimum 5+ years of direct experience in managing a team of 8-10 members. Proven track record of hands-on management across all operations functions (KYC, DP, RMS, Settlements, Compliance, etc.). Strong leadership, communication, and team management skills. Prefer candidates with a notice period of 1 month or less; 3 months may be considered for exceptional fits. Must possess relevant certifications NISM VI, VII, VIII If interested, please do contact HR Rajni - 9535628295 or drop your CV in Whatsapp.