Location: Kandivali, Mumbai (Client visits as required)
Key Responsibilities
- Lead Internal and Concurrent Audits of Depository Participants (DPs).
- Review compliance with SEBI, NSDL, and CDSL regulations and circulars.
- Verify DP operations, including account opening, KYC, demat/remat, pledge, and other depository transactions.
- Identify control gaps, prepare audit reports, and discuss observations with clients.
- Manage client interactions and ensure timely closure of audit observations.
- Supervise and guide junior team members.
- Assist in regulatory audits, certifications, and other capital market compliance assignments.
Eligibility
- CA / CA Inter / MBA (Finance) / M.Com /B.Com
- 5-10 years of relevant experience in DP Audits, Stock Broking Audits, Capital Market Compliance, or Depository Operations.
Skills Required
- Strong knowledge of SEBI, NSDL, and CDSL regulations.
- Experience in independently handling DP audit assignments.
- Valuable analytical, report writing, and client communication skills.
- Proficiency in MS Excel and MS Office.
Other Requirements
- Willingness to travel to client locations.
- Ability to independently manage multiple assignments and lead audit engagements.
Compensation: As per industry standards and experience.