Vice President/ Senior Vice President – Audit, Inspection and Compliance

Position

Location

Qualification

Age Limit

Vice President/ Senior Vice President – Audit, Inspection and Compliance

Mumbai

MBA, CA, CS, ICWA or equivalent professional qualification

50 Years

Role:

- The role will be responsible for leading the Audit, Inspection & Compliance function including surveillance and strengthening regulatory compliance, risk-based supervision and monitoring of Depository Participants (DPs) and Registrar & Transfer Agents (RTAs), redressal of investor grievances and stakeholder engagement across the organization.

Key Responsibilities:

- The role will oversee various sub functions including audit and inspection of activities of DP/RTA supervision, surveillance and analytics, AML/PMLA compliance, investor grievance redressal monitoring, regulatory responses, support for board and statutory committees, process automation and stakeholder management.

Audit, Inspection & Compliance:

- Lead and manage the Audit, Inspection & Compliance function with respect to monitoring of DPs and RTAs of the Depository.
- Plan and conduct risk-based inspections of Depository Participants (DPs) and RTA.
- Assess adequacy and effectiveness of internal controls, operational processes and compliance frameworks of DPs and RTAs.
- Identify regulatory and operational gaps and recommend corrective and preventive actions.
- Monitor implementation and closure of inspection observations and compliance deficiencies.
- Support regulatory inspections and reviews conducted by SEBI and other authorities.

DP/RTA Supervision:

- Supervise regulatory compliance of Depository Participants.
- Monitor adherence to SEBI regulations, circulars, operational guidelines and depository requirements.
- Review inspection findings and recommend appropriate supervisory and enforcement actions where required.
- Strengthen participant monitoring and risk-based supervision mechanisms.

Regulatory Compliance & Governance:

- Handle coordination and closure of inspections conducted by Regulators.
- Prepare compliance reports, dashboards, regulatory submissions and management updates.

Surveillance, Data Mining & Analytics:

- Lead surveillance and data mining activities aimed at identifying unusual, suspicious, non-compliant or high-risk transactions and participant behaviour.
- Develop risk-based monitoring frameworks using data analytics, exception reporting and management information systems.
- Analyse transaction patterns, operational incidents, compliance breaches and emerging risks.
- Support regulatory supervision and decision-making through data-driven insights and trend analysis.
- Drive automation and technology-based monitoring solutions to strengthen surveillance effectiveness.

Anti-Money Laundering (AML) & PMLA Oversight:

- Function as Principal Officer under the Prevention of Money Laundering Act (PMLA).
- Oversee implementation and monitoring of AML/CFT policies and procedures.
- Review alerts, investigations, and Suspicious Transaction Reports (STRs).
- Coordinate with FIU-IND, SEBI, law enforcement agencies and other authorities on AML-related matters.
- Conduct awareness and training programmes on AML and regulatory obligations.

Investor Grievance Monitoring:

- Oversee investor grievance monitoring and redressal mechanisms.
- Monitor complaint resolution timelines and service standards.
- Analyze complaint trends and recommend systemic improvements.
- Coordinate with Depository Participants and internal stakeholders for timely resolution of investor complaints.

Regulatory Orders, Enforcement Actions & Information Requests:

- Coordinate compliance with directions, orders, advisories, and enforcement actions issued by SEBI and other statutory authorities.
- Oversee responses to Requests for Information (RFIs), regulatory inspections, investigations, and statutory queries.
- Act as a nodal point for collection, verification, and submission of information sought by regulators and enforcement agencies.
- Maintain monitoring mechanisms to ensure timely compliance with regulatory directives and reporting obligations.
- Liaise with regulatory, statutory, and law enforcement authorities on matters relating to supervision, compliance and investigations.

Board & Committee Support:

- Serve as Convenor to Statutory Committees as assigned.
- Review agenda papers, presentations, compliance reports, and regulatory updates.
- Track implementation of committee and board decisions.
- Provide independent assessments on regulatory, compliance, surveillance, and governance matters.

Process Improvement & Automation:

- Drive automation and digitization of audit, compliance, surveillance, investor grievance, redressal and monitoring activities.
- Develop management dashboards, exception reporting systems and risk indicators.
- Strengthen governance and control frameworks through process improvements and technology adoption.

Stakeholder Management:

- Liaise with SEBI, FIU-IND, Depository Participants, Stock Exchanges, auditors and other stakeholders.




- Represent CDSL in regulatory meetings, industry forums, working groups and stakeholder consultations.
- Support strategic and regulatory initiatives impacting the depository ecosystem.

Qualifications/ Experience:

Qualifications:

- MBA, CA, CS, ICWA or equivalent professional qualification from a reputed institution.
- Minimum 15 years of progressive experience in financial services / capital markets, with significant exposure to senior leadership or functional head roles.
- Strong understanding of SEBI regulations, governance frameworks, market infrastructure operations, investor grievance mechanisms, and risk oversight.
- Proven ability to lead, mentor and build high-performing teams with strong ethical and performance orientation.
- Experience with Market Infrastructure Institutions will be preferred.
- Age Criteria: The candidate should not be more than 50 years of age as on Sep 01, 2026.

Current CTC and Expected CTC to be mentioned clearly. Please email your resume, mentioning the position applied for in the subject column at : [email protected]

Officer - Surveillance

Position

Location

Qualification

Age Limit

Officer - Surveillance

Mumbai

Graduate

Up to 25 Years

Qualification & Experience:

- Minimum 1-2 years in surveillance functions in Stock Exchanges, Brokerage Houses
- Conversant with Depository operations
- Good communication skills.
- Proficient in Microsoft Excel, Word

Skill Set Required:

- Knowledge of regulatory requirements
- Knowledge of PMLA Regulations
- Proficient in Microsoft Excel, Word and PPT Teamwork.

:

- Working on various alerts generated by system.
- Co-ordinating with DPs.
- Preparation of reports on alerts processed.
- STR Reporting
- Testing of Software

Current CTC and Expected CTC to be mentioned clearly . Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Asst. Manager / Dy. Manager - Surveillance

Position

Location

Qualification

Age Limit

Asst. Manager / Deputy Manager

Mumbai

Graduate / Post Graduate

Up to 35 Years

Qualification & Experience:

- Minimum 5 - 8 years in surveillance functions in Stock Exchanges, Brokerage Houses
- Conversant with Depository operations
- Good communication skills.
- Proficient in Microsoft Excel, Word

Skill Set Required:

- Knowledge of regulatory requirements / PMLA regulations.
- Proficient in Microsoft Excel, Word and PPT Teamwork.

:

- Working on various alerts generated by system.
- Co-ordinating with DPs.
- Preparation of reports on alerts processed.
- STR Reporting
- Preparation of MIS for Management
- Enhancement of surveillance software

Current CTC and Expected CTC to be mentioned clearly . Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Assistant Manager / Deputy Manager – Admission Cell (Location- Hyderabad)

Position

Location

Qualification

Age Limit

Asst. Manager / Deputy Manager

Hyderabad

Graduate/Postgraduate/MBA

30 Yrs.

Qualification & Experience:

- Minimum 5-10 years work experience in Capital markets preferably in depository related operations, Market Infrastructure Institutions (MIIs) etc.
- Should be a Graduate / Post Graduate / MBA.
- Well conversant with depository operations.

Skill Set Required:

- Good analytical and verbal & written Communication skills.
- Ability to multi-task, set priorities and manage time effectively.
- Teamwork and Collaboration.

:

- Responsible for the day-to-day activities related to admission of issuer companies and subsequent applications in the Admission Cell.
- Co-ordinating with RTAs / Issuer Companies / Exchanges / market participants and other departments in the organisation.
- Preparing various reports / MIS to be submitted to senior management.

Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Assistant Manager / Deputy Manager – Data Mining

Position

Location

Qualification

Age Limit

Assistant Manager / Deputy Manager – Data Mining

Mumbai

Graduate / Postgraduate

Up to 30 years

Skills Preferred:

- Minimum 4-5 years in surveillance functions in Stock Exchanges, Brokerage Houses.
- Knowledge of regulatory compliance / Foreign Investment by Listed Companies.
- Conversant with Depository operations.
- Good communication skills.
- Proficient in Microsoft Excel and Word.

:

- Study of regulatory circulars, orders.
- Taking actions on regulatory orders / advisory received from various regulators.
- Working on Foreign Investment Monitoring by Listed Companies.
- Working in shifts may be required

Please email your resume,



mentioning the position applied for in the subject column at :[email protected]

Officer / Asst. Manager / Deputy Manager - Admission Cell

Position

Location

Qualification

Age Limit

Officer / Asst. Manager / Deputy Manager

Mumbai

Graduate/Postgraduate/MBA

30 Yrs.

Experience & Role:

- Minimum 5-10 years work experience in Capital markets preferably in depository related operations, Market Infrastructure Institutions (MIIs) etc.
- Well conversant with depository operations. Good analytical and verbal & written Communication skills.
- Ability to multi-task, set priorities and manage time effectively.

:

- Responsible for the day-to-day activities related to admission of issuer companies and subsequent applications in the Admission Cell.
- Co-ordinating with RTAs / Issuer Companies / Exchanges / market participants and other departments in the organisation.
- Preparing various reports / MIS to be submitted to senior management.

Current CTC and Expected CTC to be mentioned clearly Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Officer – Data Mining

Position

Location

Qualification

Age Limit

Officer

Hyderabad

Graduate / Post Graduate

Upto 30 yrs

Qualification & Experience:

- Minimum 1-2 years in surveillance functions in Stock Exchanges, Brokerage Houses,
- Knowledge of regulatory compliance / Foreign Investment by Listed Companies.

- Conversant with Depository operations
- Good communication skills.
- Proficient in Microsoft Excel, Word.
- Working in shifts may be required

Skill Set Required:

- Knowledge of regulatory requirements
- Proficient in Microsoft Excel, Word and PPT Teamwork

:

- Study of regulatory circulars, orders.
- Taking actions on regulatory orders / advisory received from various regulators
- Working on Foreign Investment Monitoring by Listed Companies.

Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Officer/Assistant Manager – Audit & Inspection

Position

Location

Qualification

Age Limit

Officer/Assistant Manager – Audit & Inspection

Corporate office, Mumbai

Bachelor’s degree

NA

Experience / Role :

- Prior experience of Audit & Inspection, preferably in securities/ commodity industry and warehousing / exchanges/ clearing corporations. Minimum 3 years’ experience needed in relevant field.
- Strong communication skills and proficiency in Word, Excel, Outlook, and PowerPoint.
- Ability to understand and comprehend contents of agreement, balance sheet, annual report, legal notice etc.
- Ability to manage complex projects and multi-task.
- Ability to flourish with minimal guidance and be proactive.
- High level of integrity and honesty is desired with a commitment to achieve management objectives.

: Audit and Inspection of Repository participant (RP)

- Ensure compliance with established internal control procedures by examining records, reports, operating processes and documentation.
- Completes audit workpapers by documenting audit and findings
- To check adequacy of internal control systems by completing audit questionnaires.
- Communicate audit findings by preparing a report; discussing findings with auditees.
- Contribute/ coordinate with internal operations team on related results as needed.
- Ensure necessary documents / information as prescribed by CCRL are collected from different types of Client/Depositor for recent account, modification, change in address, change in signature, change in name etc.; Signatures are appropriately scanned and uploaded.
- The Tariff Sheet has been signed by the Client/Depositor at the time of account opening.
- Rights and Obligations is signed by depositor/ client and RP is keeping it in records.
- Deposit requests are processed as per the prescribed procedure.
- Instructions from Client/Depositor are executed only on the basis of duly signed instruction slips or electronic instructions.
- The instruction slips are checked and verified by two officials (maker-checker) separately for the correctness and signatures.
- 30 days’ notice is given to the Client/Depositor before closing his account, in case account closure is initiated by RP.
- All formats used by the RP are in conformity with CCRL’s prescribed format.
- Indictments or any other orders passed against the RP by any competent authority, if any, is notified to CCRL within 7 days of passing such order.
- The Compliance Officer appointed by the RPs for the main RP office. The details of the compliance officer/ authorised signatories/ office address and change if any is informed by RP to CCRL.
- RP follows maker-checker concept in all of its activities to ensure the accuracy of the data and as a mechanism to check unauthorised transaction.

Current CTC and Expected CTC to be mentioned clearly Deserving candidates fulfilling this criteria need to apply with subject title as CCRL Please email your resume, mentioning the position applied for in the subject column at : [email protected]

📌 Regulatory (Mumbai)
🏢 CDSL
📍 Mumbai