DP OPERATIONS & COMPLIANCE MANAGER in Calcutta, भारत

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.
 5–8 years of relevant experience in DP Operations, preferably with a stock broking, Depository Participant or financial services company.
 Strong 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