GATEWAY FINANCIAL SERVICES LIMITED
JOB DESCRIPTION DP OPERATIONS & COMPLIANCE MANAGER
Department: Depository Participant (DP)
Location: Kolkata
Experience: 58 Years
Reporting To: Director
Industry: Stock Broking / Capital Markets
Role Overview
Gateway Financial Services Limited is looking for an experienced DP Operations &
Compliance Manager to manage the day-to-day operations of the Company's Depository
Participant (DP) function and ensure adherence to applicable SEBI, NSDL/CDSL and
internal compliance requirements.
The candidate will be responsible for operational accuracy, regulatory compliance,
reconciliations, audits, client servicing and supervision of the DP team.
Key Responsibilities
• Manage end-to-end DP operations including account opening, modification, closure,
demat/remat, transmission, pledge/unpledge, off-market transfers and other DP-
related transactions.
• Ensure timely and accurate processing of all client instructions in accordance with
applicable regulatory requirements.
• Monitor compliance with SEBI, NSDL/CDSL rules, regulations, circulars and
operational guidelines.
• Ensure proper KYC/CKYC documentation, record maintenance and client
account controls.
• Conduct and monitor DP reconciliations, identify discrepancies and ensure timely
resolution.
• Maintain appropriate maker-checker controls, operational controls and audit
trails.
• Coordinate with NSDL/CDSL, auditors, Compliance, Risk and other internal
departments.
• Assist in Depository inspections,



audits and regulatory reviews and ensure timely
closure of observations.
• Prepare and review DP MIS, compliance reports and operational reports for
management.
• Handle escalated DP-related client queries and grievances.
• Supervise, train and monitor the performance of the DP Operations team.
• Review existing processes and recommend improvements to strengthen operational
efficiency and compliance.

Candidate Profile
• Graduate in Commerce, Finance, Business Administration or a related field.
• NISM Series VI Depository Operations Certification is mandatory.
• 58 years of relevant experience in DP Operations, preferably with a stock
broking, Depository Participant or financial services company.
• Solid practical knowledge of NSDL/CDSL systems and DP processes.
• Good understanding of SEBI regulations and DP compliance requirements.
• Experience in reconciliation, audits, regulatory reporting and operational
controls.
• Strong attention to detail, communication, analytical and problem-solving skills.
• Prior experience managing or supervising a DP team will be preferred.
Key Skills Required
DP Operations | NSDL/CDSL | SEBI Compliance | KYC/CKYC | Reconciliation | Audit
& Inspection | Regulatory Reporting | Client Servicing | Internal Controls | Team
Management
Preferred Background
Candidates currently working or having prior experience with reputed stock broking
companies, Depository Participants, banks or financial institutions will be preferred.

📌 DP Operations & Compliance Manager (Kolkata)
🏢 Gateway Financial
📍 Kolkata