Dp Executive- Depository Partcipant

**Account Opening & Maintenance**: - Assist clients in opening Demat accounts, ensuring proper documentation and KYC compliance. - Maintain and update client information in the depository system as per regulatory and internal guidelines. - Ensure timely activation of accounts and handle modification requests like nominee updates, change of address, etc. -...

**Account Opening & Maintenance**: - Assist clients in opening Demat accounts, ensuring proper documentation and KYC compliance. - Maintain and update client information in the depository system as per regulatory and internal guidelines. - Ensure timely activation of accounts and handle modification requests like nominee updates, change of address, etc. -...

**Account Opening & Maintenance**: - Assist clients in opening Demat accounts, ensuring proper documentation and KYC compliance. - Maintain and update client information in the depository system as per regulatory and internal guidelines. - Ensure timely activation of accounts and handle modification requests like nominee updates, change of address, etc. -...

**Account Opening & Maintenance**: - Assist clients in opening Demat accounts, ensuring proper documentation and KYC compliance. - Maintain and update client information in the depository system as per regulatory and internal guidelines. - Ensure timely activation of accounts and handle modification requests like nominee updates, change of address, etc. -...

**Account Opening & Maintenance**: - Assist clients in opening Demat accounts, ensuring proper documentation and KYC compliance. - Maintain and update client information in the depository system as per regulatory and internal guidelines. - Ensure timely activation of accounts and handle modification requests like nominee updates, change of address, etc. -...

RoleAssistant Manager - Surveillance QualificationCA/ICWA/CS/CFA/MBA or equivalent post graduate qualification from reputed/recognised institutes/ universities. - LocationMumbai Experience3+yrs of experience - Monitor of shareholding limits for listed MIIs (Stock Exchanges & Depository). - Monitoring of Debt Investment by Foreign Portfolio Investors. -...

Scope and Responsibilities •Execution of Delivery Instructions . •Modification of client details , Transmission and shifting of account •Demat & Remat Process .•Checking documents related to Modification, transmission and compliance requirement and executing same •Providing client centric solution keeping in mind compliance requirement . Job...

**Role** Executive - Settlements Operations **Qualification** Inter CA/CS/ICWA/M.Com/MBA/PG or B. Com. Graduates will also be considered. **Location** Mumbai **Experience** minimum 2 yrs. Experience in capital market is necessary. Experience in settlements would be added advantage. - Settlement of various segments equity, Mutual Fund Debt and tender...

**Role** Secretarial activities **Qualification** CS and LLB completed **Location** Mumbai **Experience** More than 2 yr of experience - Prepare regulatory matrix encompassing compliance under various applicable laws/regulations/enactments/statutes governing a Depository which, inter alia, shall include the following enactments: - Companies Act, 2013 and...

Greetings from **HRS!!!** **Job Title : Stock Broking Back Office Executive** **Industry : NBFC / Securities / Stock Broking** **Key Responsibilities**: 1. **Trade Confirmation and Settlement**: - Confirm trade details and ensure accurate and timely settlement of transactions. - Coordinate with relevant parties to resolve any discrepancies in trade...

Audit Executive for conducting audits of financial intermediaries like Stock Brokers and Depository Participants. **Job Roles and Responsibilities**: Verification of the following: - KYC details of new clients and modifications therein - Orders placed through members - Contract notes dispatched - Brokerage / DP charges levied - DIP / DIS issued -...

**Role** Executive - Participant Services **Qualification** CA Fresher, CA with some experience would be added advantage. **Location** Mumbai **Experience** 0 - 1 yr of experience - Understanding of SEBI/NSDL guidelines, Preparation and issuance of circulars, Operating guidelines and regulatory directions to Depository Participant. - Regular update of...

**Key Responsibilities** - To manage depository product and services for the corporate clients. - Ensure adherence to the product governance, policies as laid by regulators and Wealth Product /segments at both country as well as group for corporate clients. - Liaison with stakeholders/segments for ensuring appropriate support is provided to corporate clients...

Good Knowledge of Individual/Non-Individual documentation. - Opening Demat Account of clients on CDSL/NSDL - Verifying documents during onboarding of clients and solving any discrepancies if any - Data entry in system like DP,Back Office solutions of individual or Non-individual - Knowledge about all type of DP modification,nominee updates,etc. - KYC...

**Job Title/Designation**: Investment Associate **Experience**: 2-3 years of work experience at DP (Depository Participant) or in an accounting function **Location**:Mumbai,Nashik, Gandhinagar **Key Responsibilities**: - Responsible for ensuring the accuracy of investment related information on the investment system, includes ensuring trade capture,...

**Role Overview**: - Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with back office of institutional cum HNI clients, other day to...

Role: Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with back office of institutional cum HNI clients, other day to day back office...

**- Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc. - Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories. - Conduction Audit /review of various activity for Broking, DP ,PMS & Branch inspections - Handling Regulatory Inspections & Internal Audit...

We are looking for Compliance Officer/ Executive Company - Stock Broking Location - Nariman Point Experience - 4 yrs Knowledge of DP and stock broking back office, Compliance with SEBI (Stock Broking, Merchant Banking, Invest Advisory) Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e....

**Education and Qualification**: - Graduate - Experience: 2-3 years - Basic Accounting Knowledge - Knowledge of MS-Excel **Roles & Responsibilities**: - Demat & Trading Account opening in Depository & Exchange Level - Client Stock Transfer ON-Market/OFF-Market - Security Pledge/Unpledge/Invocation - Dematerialization of Securities - Destamentaization &...