49 Nsdl Jobs

We are seeking an incumbent with a valid NISM Series VI Depository Operations certification and a basic understanding of CDSL and NSDL processes. The candidate should be familiar with key DP activities such as DIS handling, demat/remat, pledge, and account closure procedures. Exposure to systems like CDAS, EDPM, and back-office platforms like I-BEATS will be an added advantage. A willingness to learn, attention to detail, and interest in depository operations are essential. Experience: 0 to 2 years (Freshers can apply) Roles and Responsibilities: Regulatory Certification: Must possess valid NISM Series VI - Depository Operations Certification . Depository Participant (DP) Operations: Strong understanding and hands-on experience with CDSL and NSDL related operational activities. Perform BOD (Beginning of Day) and EOD (End of Day) processes for both NSDL and CDSL platforms. DP Terminals and Interfaces: Familiar with CDAS, EDPM , and Local Terminal (NSDL) environments. Upload and manage DIS entries on both CDSL and NSDL platforms. Back Office Software Knowledge: Working knowledge of I-BEATS and similar back-office platforms. Ability to troubleshoot and resolve DIS-related issues within the back-office system. Transaction Processing: Perform MAKER entries for: Delivery Instruction Slips (DIS) Pledge/Unpledge instructions DRF (Dematerialization Request Form) Freeze/Unfreeze instructions Responsible for scrutiny and accurate processing of: DRF Transmission requests Account closure Account shifting Demat / Remat / Redemption Activities: End-to-end processing of Dematerialization , Rematerialization , and Redemption transactions. Follow up with RTA in case of rejections or non-receipt of DRF within expected timelines. Transmission and RTA Coordination: Knowledge of transmission process for both CDSL and NSDL. Coordinating with RTAs for rejection cases and follow-ups. BO (Beneficial Owner) Management: Handle BO Mapping and account-level modifications as per compliance norms. DP Billing Activities: Carry out DP billing-related activities accurately and in a timely manner. Reporting & Compliance: Ensure all tasks are performed in compliance with SEBI and depository guidelines. Maintain proper audit trails and logs for all operations. Key Skills Required: Strong attention to detail and documentation. Good communication and coordination skills with RTAs and internal teams. Ability to work independently and handle high-volume operations. Familiarity with compliance requirements and audit protocols. Show more Show less

We are looking forward for a suitable candidate for the position of Company Secretary cum Compliance role for our client based in Mumbai location. JD:- Role Summary The Company Secretary & Compliance Officer will be responsible for ensuring the company's adherence to all applicable laws and regulations, with a strong focus on the Companies Act, 2013, and directives from the Reserve Bank of India (RBI). This role is critical for supporting our Board of Directors, managing our corporate governance framework, and ensuring seamless compliance across all our investment ac vi es. Key Responsibilities 1. Corporate Secretarial Functions (Companies Act, 2013): Independently manage and convene Board, Committee (Audit Committee, Nomination and Remuneration Committee, etc.), and General Meetings. Prepare and circulate agendas, notices, detailed notes, and presentations for all meetings. Draft , finalize, and maintain minutes of all meetings with precision and accuracy. Maintain and update all statutory registers, records, and filings under the Companies Act, 2013. Manage all filings with the Ministry of Corporate Affairs (MCA), including annual returns and various event-based forms (e.g., MGT-7, AOC-4, PAS-3, CHG-1). Handle all secretarial matters related to the issue, transfer, and transmission of shares and other securities. 2. Regulatory Compliance (RBI & SEBI): Ensure strict compliance with all applicable RBI Master Directions, Circulars, and Guidelines for NBFCs (Systemically Important Non-Deposit taking Company and Investment and Credit Company). Prepare and file all periodic and ad-hoc returns with the RBI, including COSMOS returns. Assist in the implementation and ongoing monitoring of the company's KYC (Know Your Customer) and AML (An-Money Laundering) policies. Track regulatory changes from RBI, SEBI, and other authorities and advise management on their impact on the business. Ensure compliance with applicable SEBI Regulations in the context of our investment activities. 3. Legal & Investment Support: Assist in legal and secretarial due diligence for proposed investments in unlisted entities. Dra and vet various legal and commercial agreements, resolutions, and other corporate documents. Liaise with external legal counsels, statutory auditors, and secretarial auditors. Provide support on matters related to the Foreign Exchange Management Act (FEMA) for any overseas investments or funding. Qualifications and Skills Required: Qualified Company Secretary Member of the Institute of Company Secretaries of India (ICSI). 3 years of post-qualification experience, preferably within the financial services sector (NBFC or related entities). Strong, hands-on knowledge of the Companies Act, 2013 and RBI regulations applicable to NBFCs. Desired: A Bachelor's degree in Law (LLB) will be a significant advantage. Familiarity with SEBI regulations. Excellent drafting, communication, and interpersonal skills. High level of integrity, professional ethics, and attention to detail. Ability to work independently, manage tight deadlines, and collaborate effectively with senior management. Proficiency in MS Office Suite (Word, Excel, PowerPoint). Interested candidates may apply on smbhr.shirin@gmail.com or call on 8369906992 for more queries on above. bye, Shirin 8369906992

Role & responsibilities Manage secretarial documentation and ensure compliance with the Companies Act, 2013. Coordinate and support Board, AGM, and committee meetings including preparation of agendas, notices, and minutes. Maintain statutory records and handle timely filings with ROC and other regulatory bodies. Draft shareholder and director resolutions; support issuance of circulars and statutory forms. Assist in handling shareholder communications, grievance redressal, and SEBI/stakeholder compliances. Manage dividend processing and coordinate with registrars for revalidation and documentation. Oversee general insurance matters including renewals, policy documentation, and claim coordination. Liaise with statutory/internal auditors and cross-functional teams to meet audit and compliance requirements. Maintain and update governance documents, regulatory checklists, and legal records. Act as custodian of key legal and property documents and coordinate legal follow-ups and notices. Preferred candidate profile Qualified CS with 5 years of experience, in secretarial and compliance roles, preferably in listed companies. Bachelors degree in commerce / law preferred. Sound knowledge of Companies Act, SEBI regulations, and ROC filings. Experience in coordinating board meetings and shareholder communications. Familiarity with general insurance policies and claim handling processes. Strong documentation, drafting, and communication skills. Working knowledge of investor relations and dividend compliance processes. Ability to handle regulatory audits and manage compliance documentation. High attention to detail and organizational skills. Proficiency in MS Office and secretarial software tools (e.g., MCA portal, NSDL/CDSL, etc.).

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 .

Job Title : Depository Participant Executive Location :BGSE financial executive,JC road bangalore Department : Depository Participant Job Overview: We are looking for a Depository Participant Executive with expertise in NSDL , CDSL , and Demat back-office operations . The role involves managing Demat accounts, handling settlement processes, and supporting branch activities. A NISM certification is required. Key Responsibilities: Manage NSDL/CDSL Demat operations (account opening, transfers, settlements). Handle back-office tasks related to Demat services, reconciliations, and documentation. Support branch staff with Demat-related queries and operations. Ensure compliance with SEBI, NSDL, and CDSL regulations. Provide customer service for Demat account inquiries and issues. Qualifications: Education : Bachelor's degree in Finance or related field. Certifications : NISM Certification. Experience : 2-3 years in Demat/NSDL/CDSL operations. Skills : Knowledge of Demat services, MS Office, attention to detail, and strong communication skills.

Job Title: Senior Manager DP (Demat Processing) Operations Department: Operations Reports To: AVP – Operations Job Type: Full-time Job Summary: We are looking for a highly experienced Senior Manager – DP Operations to oversee and manage all aspects of Demat account processing and depository-related operations . The role demands a deep understanding of NSDL/CDSL systems, SEBI regulations, and a proven ability to lead large teams and ensure error-free and compliant operations. Key Responsibilities: End-to-end management of DP operations including account opening/closure, dematerialization/rematerialization, pledging/unpledging, off-market transfers, and corporate actions. Ensure adherence to guidelines issued by NSDL, CDSL, SEBI , and internal compliance teams. Oversee reconciliation of client holdings, BO balances, and regular reporting to depositories and regulatory authorities. Handle escalations related to discrepancies in demat transactions or client servicing. Monitor and enhance the efficiency of back-office systems (e.g., DP software like OMNESYS, NEST, ODIN , or custom platforms). Coordinate with internal departments like compliance, risk, IT, and client servicing to ensure smooth operations. Lead and mentor a team of DP executives, assistant managers, and team leads. Periodically review SOPs and drive process improvements for faster and error-free processing. Ensure timely and accurate handling of corporate actions , such as bonus issues, rights, splits, buybacks, and dividend processing. Prepare for internal and external audits, and ensure full compliance with regulatory norms. Maintain MIS and dashboards for senior management reviews. Required Qualifications: Graduate/Postgraduate in Finance, Commerce, or related field (MBA preferred). 8–12 years of experience in DP operations with minimum 3–5 years in a leadership role. Strong understanding of NSDL/CDSL systems and regulatory requirements. Familiarity with back-office platforms and depository interfaces. Excellent knowledge of SEBI regulations pertaining to demat and trading operations. Strong communication, leadership, and stakeholder management skills. Preferred Skills: Certifications in Capital Markets (e.g., NISM DP Operations Certificate). Experience in handling large client volumes and high-value demat transactions. Exposure to broking or financial institutions with DP services. Kindly updated cv on outsource18@idbicapital.com or can connect on-- Name : Priti- 9137914716 .

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

Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barrons has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. Roles & Responsibilities: As a team member, you will process retail client and institutional applications daily. You will review the documentation related to the opening of a new account. Respond to retail and professional clients inquiries via calls & emails on a timely basis. Registration of new clients and modification of their details on regulatory portals (NSE, NSDL, CKYC and KRA). Assist in Internal and External audits. Collaborate with other cross-functional teams to assist with account approval and maintenance. Follow internal policy and procedures when dealing with various account-related tasks. Support aspects of client onboarding to ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), Customer Information Program, SEBI and PMLA guidance requirements. Contact retail and professional clients for follow-up requirements via calls, chats & emails. Perform research via internal and external sources, collect and analyze documentation in accordance with regulatory and KYC requirements. Review negative media alerts from client screening tools (e.g., World-Check). Cross-reference multiple databases to ensure that AML and KYC regulatory aspects are completed before account opening. Experience and Qualifications: A college degree is required . Acceptable majors include: Finance, Accounting, or Information Systems. NSDL Certification Series 6. Minimum 1 year of experience in DP back office operations. Excellent verbal and written communication skills in English are a must Proficient user of MS-Office applications, especially Excel Ability to prioritize effectively and multitask Independent, punctual, and careful working methods Motivated and trustworthy personality Self-organized team player with a great eye for detail Company Benefits & Perks: Competitive salary package. Performance-based annual bonus ( cash and stocks ). Hybrid working model ( 3 days office/week ). Group Medical & Life Insurance. Modern offices with free amenities & fully stocked cafeterias. Monthly food card & company-paid snacks. Hardship/shift allowance with company-provided pickup & drop facility* Attractive employee referral bonus. Frequent company-sponsored team-building events and outings. * Depending upon the shifts. ** The benefits package is subject to change at the managements discretion.

Company Name: Aditya Birla Experience: 1+ Years Location: Hyderabad (WFO) Interview Mode: F2F Interview Date: 16th July (Wednesday) Interview Rounds: 1 Round Notice Period: Any Job description: Role & responsibilities To ensure active management of clients & achieve the target active AUM To be responsible for identifying customer needs, assessing their risk appetite, and providing them with investment options Responsible for new client acquisition To provide regular updates to the clients regarding the market changes and subsequent changes to the portfolio To achieve healthy revenues without compromising on client profitability To have a clear focus on client mining To conduct regular Client Meetings & update the same in the meeting tracker To attain maximum reach of investment ideas/stock calls initiated Keep abreast of the market news, financial trends, and current affairs attend post result con-calls, and analyst meets for improved client servicing. Preferred candidate profile Graduate/postgraduate with 1 years experience\should have good communication skills should be self starter NISM8 Mandatory

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

Company Name: Aditya Birla Experience: 1-8 Years Location: Hyderabad (WFO) Interview Mode: F2F Interview Rounds: 1 Round Notice Period: Any Job description: Role & responsibilities To ensure active management of clients & achieve the target active AUM To be responsible for identifying customer needs, assessing their risk appetite, and providing them with investment options Responsible for new client acquisition To provide regular updates to the clients regarding the market changes and subsequent changes to the portfolio To achieve healthy revenues without compromising on client profitability To have a clear focus on client mining To conduct regular Client Meetings & update the same in the meeting tracker To attain maximum reach of investment ideas/stock calls initiated Keep abreast of the market news, financial trends, and current affairs attend post result con-calls, and analyst meets for improved client servicing. Preferred candidate profile Graduate/postgraduate with 1 years experience\should have good communication skills should be self starter NISM8 Mandatory

Vacancy in Shares Department, MRF Limited Post: Executive in shares department Job Summary We are seeking an experienced candidate to handle in-house Registrar and Share Transfer Agent (RTA) operations in due compliance with SEBI regulations. The role involves managing both physical and dematerialized shareholding processes, handling RTA software and tools, dematerialization of shares, share transmission, issue of duplicate share certificates, share capital reconciliation, dividend processing, record keeping , AGM/e-voting facilitation, IEPF compliance, Interaction with Depositories (NSDL/CDSL), coordination with banks for Dividend pay-outs and related compliance, manage unclaimed dividend account and reconciliation, investor relations and ensuring compliance with NSDL/CDSL audit and inspection etc. Reporting To Senior Manager Shares. Requirements Minimum 15 years of relevant experience in a Secretarial Department, preferably handling a shareholder base exceeding 50,000+ or with Registrar and Share Transfer Agent. Familiarity with SEBI (LODR) Regulations, Proficiency in handling software tools related to RTA operations. Proficient in depository platforms (NSDL/CDSL). Ability to coordinate with RTAs, auditors, depositories and financial institutions. Excellent organizational, time management and multi-tasking abilities. High level of integrity and confidentiality. Proficiency in MS Office (Word, Excel, PowerPoint, Outlook). Preferred Qualifications/Age/Residence Graduate in Commerce/Corporate Secretary ship Diploma or Certificate in computer programming. Knowledge in MS office packages, FoxPro, Visual basic, MS Doss and other RTA related software packages is essential. Age & Residence 40 to 45 years and resident of Chennai

Handle inbound customer calls for Savings, Demat & Investment queries Make outbound calls to privileged customers for proactive updates Provide excellent service and accurate information Build strong customer relationships in the BFSI domain Required Candidate profile Grad/Postgrad (Fresher/Exp), English & Hindi fluent Finance/customer service background a plus Salary: 14.5K–25K Week Off: Sun + Alt Sat Call Hrutika: 9137797705 hyflyhr9@gmail.com www.hyfly.in Perks and benefits Medical Allowance + Daily Allowance

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

Warm Greetings from Fortune HR Solutions!! We have the following opening for our client, a reputed iron ore mining steel manufacturing company with its corporate office in Hospet, Karnataka location requires, Assistant Manager-Company Secretary (Corporate Office) Experience : 2 to 5 Years Age : 28 to 35 Years Industry : Manufacturing industry Qualification : Qualified company secretory having membership from the ICSI Base Location : Corporate Office, Hospet Job Requirements Drafting resolutions, POAs, Authorization Letters Preparation of agenda, Directors Reports, Minutes Maintaining custody of records and registers Research abilities to get the details of the Peers Updations of latest amendments and Rules Soft spoken and understanding abilities Achievement Drive Good coordination with the Peers Maintain Balance of Emotions Maintain Responsibility and Accountability Role and Responsibilities Preparation of agenda, notes on agenda, minutes, directors reports, annual returns etc. Filling of E-forms with MCA Renewal of license trade marks Statutory payments of NSDL, RTA, LEI, CIC, consultants Coordination required for the purpose of statutory audits. Obtaining of different classes of digital signatures. Research of peer company’s data and Directors data, Independent Directors data, other companies Annual Report Maintenance of statutory Registers, Records, Agendas, and another original document Maintenance of list Authorizations and Power of attorneys Preparation of Resolutions and certified true copy of Resolutions Study of Bid document, preparations of bid document Maintenance of good conversation and decent behavior with colleagues, auditors, consultants and external parties Cooperation with in the department for the official works of the team members LLP Filings, Partnership deeds, Trust deeds compliances Timely update on the amendments of companies act ,2013 and the Rules thereon. Meeting the credit hour requirements If your are interested pl share with your updated CV to veeramani@fortunehrsolutions.co.in along with the below details, Age: Exp: Current CTC: Expected CTC: Notice Period: Reason of Job Change: Native:

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.

Key Responsibilities: The Compliance Executive ensures adherence to all regulatory and legal requirements established by governing bodies, such as SEBI (Securities and Exchange Board of India), exchanges, and other financial authorities. This role involves monitoring, reporting, and guiding to ensure compliance and mitigate risks. Ensure timely and accurate compliance with SEBI, NSE, BSE, NSDL, CDSL, and other regulatory bodies. Monitor regulatory updates and proactively implement changes in internal systems/policies. Manage day-to-day regulatory communication, clarification, and compliance mail handling. Prepare and submit statutory reports: Global Transaction Statement, STT Certificates, Networth & Annual Returns, Client Holding Statements, and other exchange/depository reports. Oversee onboarding/closure of Authorised Persons, update website/MIS, and draft Board Resolutions. Handle circular reviews, website/form updates, and coordination with internal teams for execution. Ensure periodic updates to the BO Grievance Investor Charter on the website. Coordinate with finance and IT teams for statutory filings, including Cyber Audit, VAPT, Risk-Based Supervision, etc. Independently handle concurrent audits, internal audits, inspections (onsite/offsite), and statutory audits. Manage quarterly settlement and non-trading payout activities. Track surveillance alerts, manage responses to exchanges/CDSL, and coordinate necessary actions. Submit risk assessment templates, incident reports, STRs, and other regulatory filings (monthly, quarterly, yearly). Conduct regular team discussions and implement regulatory changes with cross-functional departments. Assist senior management with risk assessments, compliance strategies, and decision-making. Skills & Qualifications Minimum 5 years of experience in stock broking compliance (SEBI/Exchange/Depository). Strong understanding of SEBI, NSE, BSE, CDSL, NSDL regulations. Proven ability to handle internal and external audits independently. Familiarity with regulatory portals and systems (Exchange & Depository). Strong analytical skills for risk assessment and compliance review. Excellent verbal and written communication skills. Ability to coordinate across departments (IT, Finance, Legal) for audit and compliance

DP- Senioir manager HOD - DP & Commodity, RMS Overall supervision of DP,Commodity& RMS Implementation of new back office software Overall responsibilities as below Settlement- Dis execution- Market, Off Market, Pledge Transmission Closure of Accounts Account Opening - NSDL,CDSL, KYC, ReKYC, CKYC, Modifications, KRA etc - DP, Trading, Commodity, & SLBM Demat-Remat- Redemption Billing- Daily billing process Modification of Accounts- Demat/Trading Pledge/Release activities Interacting with on boarding client - Front office Interacting with clients over phone/Email Branch Interaction on regular basis/query related Ensuring of smooth process on daily basis Training to new joinees SLBM - Client registration Billing Etc., PMLA / AML Compliance and Reporting Other department related co-ordination for smooth functioning of day to day activities Compliance work Relavant NISM Certification at DP, MCX, & RMS AIML Reporting All compliance related to DP/MCX and RMS Filing of Compliance Certificate Client Funding Report Filing of Risk Based Supervision AI & ML Reporting Filing of Networth Filing of Internal Audit Report Replies to the queries on the regulators Filing Reports of FIU SEBI Compliance Liasioning with clearing members in the case of NCDEX & MCX Enhanced Supervision in BSE & NSE