DP Compliance Executive

Key Responsibilities

• Regulatory Compliance
• Monitor regulatory updates, circulars and communiqus issued by SEBI and CDSL.
• Implement necessary changes in policies, processes and internal controls in line with regulatory requirements.
• Regulatory Submissions
• Handle monthly, quarterly, half-yearly and annual submissions to CDSL.
• Ensure all regulatory submissions are accurate and completed within prescribed timelines.
• Audit & Inspection
• Prepare and provide required data and documents for Internal Audits and DP Inspections.
• Coordinate with auditors and assist in addressing audit-related requirements and observations.
• Reconciliation & Monitoring
• Reconcile and resolve discrepancies identified in Holding Reports.
• Track and review surveillance alerts on CDSL Portal and Trackwizz and ensure appropriate follow-up.
• Policies & Procedures
• Assist the Compliance Officer in preparing and updating Policies, SOPs, processes and compliance-related documentation.
• Regulatory & Stakeholder Queries
• Handle and respond to queries received from CDSL.
• Coordinate internally to ensure timely resolution of compliance-related matters.
• Investor Grievances
• Handle and monitor investor grievances, ensuring appropriate resolution and timely closure.
• General Compliance Support
• Assist the Compliance Officer in other DP and compliance-related matters.
• Perform additional duties and responsibilities as assigned from time to time.

Candidate Profile

• 2-3 years of relevant experience in the securities market.
• Preferably experienced in Depository Participant (DP) Compliance and familiar with CDSL processes and Depository Regulations.
• Good understanding of regulatory compliance, reporting and documentation requirements.
• Strong verbal and written communication skills with a keen eye for detail.
• Good analytical, problem-solving and reconciliation skills.
• Ability to work effectively under pressure and meet strict timelines.
• Quick learner with the ability to adapt to regulatory and process changes.
• Proficient in MS Office, particularly Excel and Word.
• Ability to coordinate effectively with internal teams, auditors, CDSL and other stakeholders.