Role & responsibilities

We are seeking a detail-oriented and compliance-focused professional to manage Depository Participant (DP) Operations and Regulatory Compliance. The role involves handling day-to-day depository operations, client servicing, regulatory reporting, statutory compliance and coordination with Exchanges and Depositories while ensuring strict adherence to SEBI, CDS

DP Operations

- Execute daily Pay-in, (including early pay-in), Pay-out and settlement activities.
- Process Dematerialisation, Rematerialisation, Pledge, Margin Pledge, Unpledge, Repledge Transmission and Account Closure requests. ( CM and F&O; segments)
- Handle Off-Market Transfers, DIS issuance and processing.
- Manage Trading & Demat Account Opening, KYC verification and client onboarding.
- Update client master, UCC and KYC records in CDSL, BSE, NSE and CKYC systems.
- Maintain DP master records, statutory registers and operational documentation.
- Resolve client, exchange and depository related operational queries.
- Buy back Transaction and OFS transaction bidding from NSE/IBBS
- Easy/ Easiest- registration / authentication/ pay-in / pay-out etc.

Compliance & Regulatory Reporting

- Ensure timely compliance with SEBI, CDSL, NSE and BSE regulations and circulars.
- Prepare and submit Monthly, Quarterly, Half-Yearly and Annual regulatory reports.
- Coordinate Internal Audit, Concurrent Audit, CDSL Inspection and regulatory inspections.
- Maintain records relating to Investor Grievances, Surveillance, Cyber Security, VAPT,



Risk-Based Supervision and other statutory compliance requirements.
- Monitor regulatory changes and implement process updates as prescribed by SEBI, Exchanges and Depositories.

Billing & Operations Support

- Generate DP bills, depository charges and related accounting entries.
- Coordinate with Exchanges, Depositories, Custodians and software vendors for operational issues and settlement discrepancies.
- Co-ordinate with Internal auditors and help to resolve Auditors observations L and Exchange regulations.

Preferred candidate profile

- Graduate in Commerce, Finance or a related discipline.
- 3 to 5 years of experience in DP Operations & Compliance with a SEBI-registered Stock Broker or Depository Participant.
- Working knowledge of CDSL systems, BSE/NSE operations, CKYC and DP software (Soham /RTV tech etc).
- Sound understanding of SEBI, Depository and Exchange regulations governing DP operations.
- Positive communication skills, documentation ability and proficiency in MS Excel.
- NISM Certification: Candidate should possess a valid NISM certification VI as mandated by SEBI, Exchanges and Depositories.
- Regulatory Training: Candidate should have undergone mandatory training and continue with certification renewals and periodic regulatory training programmes as and when required.

- Experience in independently handling DP Operations and regulatory compliance.
- Experience in managing statutory audits and regulatory inspections.
- Ability to work independently while ensuring strict adherence to compliance timelines.

📌 Executive -BACK Office - DP Operations AND Compliance (Maharashtra)
🏢 KJMC CAPITAL MARKET SERVICES
📍 Maharashtra