Key Responsibilities
Regulatory Compliance
Monitor regulatory updates, circulars and communiqués 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.
Positive understanding of regulatory compliance, reporting and documentation requirements.
Solid verbal and written communication skills with a keen eye for detail.
Positive 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.

Pay: Up to ₹30,000.00 per month

Work Location: In person

📌 Dp Executive Compliance Mumbai
🏢 Sykes and Rays Equities (I
📍 Mumbai