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.
- Solid 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.

📌 DP Compliance Executive (Mumbai)
🏢 SYKES u0026 RAY EQUITIES (I
📍 Mumbai