Internal Audit Depository Executive

2 days ago

Mumbai, India Acme Services Full time

Job Description Responsibilities: - Depository Participant Operations Audit: Conduct internal audits of Depository Participant (DP) operations, ensuring adherence to established procedures and regulatory guidelines. - Regulatory Compliance Audit: Verify compliance with SEBI (Securities and Exchange Board of India) regulations and Depository guidelines issued by both NSDL (National Securities Depository Limited) and CDSL (Central Depository Services Limited). - DP Regulations Review: Review and assess the implementation of all relevant DP regulations, identifying any gaps or non-compliance. - Internal Audit Execution: Execute internal audit assignments, including planning, fieldwork, documentation, and reporting of findings related to depository operations. - Risk Assessment: Assist in identifying operational and compliance risks within the depository functions and evaluate the effectiveness of internal controls designed to mitigate these risks. - Report Preparation: Prepare clear, concise, and accurate audit reports detailing findings, recommendations, and action plans. - Process Improvement: Suggest improvements to DP operations and internal control frameworks based on audit observations. - Stakeholder Interaction: Liaise with relevant internal departments and external entities to gather information and clarify audit findings. Required Skills: - Strong understanding and experience in Depository Participant operations. - In-depth knowledge of SEBI regulations concerning depositories. - Familiarity with Depository guidelines in NSDL/CDSL. - Proficiency in DP regulations. - Experience in Internal audit methodologies and practices. - Strong analytical and critical thinking skills. - Excellent attention to detail and accuracy. - Good communication skills, both written and verbal.

  • Depository Audit

    5 days ago

    Mumbai, Maharashtra, India Acme Services Full time

    Assist in conducting internal audits of Depository Participant Audit in line with SEBI and depository guidelines NSDL CDSL Work closely with the client s internal audit team under a co-sourcing model Review and assess compliance with DP regulations including account opening transaction processing demat pledge hypothecation and client communication Perform...

  • Depository Executive

    1 week ago

    Kurla, Mumbai, Maharashtra, India Meatwale Full time ₹ 6,00,000 - ₹ 7,20,000 per year

    Dear Candidates,Job Title: DP ExecutiveCompany: Broking CompanyLocation: Kurla, Mumbai, MaharashtraJob Summary: We are looking for a detail-oriented and experienced DP Executive to join our team at Allvest. The role involves managing depository operations, ensuring timely processing of client instructions, compliance with regulatory norms, and smooth...

  • depository operations

    4 days ago

    Mumbai, Maharashtra, India SafeGold Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Gold is the most trusted asset across the entire world and one of the largest asset classes in India. The total traded value of gold in India exceeds $300 billion annually – nearly all of it in an unorganised, offline manner. We, at SafeGold, are building the digital infrastructure to organise the gold market using technology. SafeGold is India's largest...

  • Audit Executive

    5 days ago

    Mumbai, Maharashtra, India Anudnya A Mehta & Associates Full time

    **Job Description: Audit Executive** **Position**: Audit Executive **Location**: Sion, Kings Circle, Mumbai **Firm Name**: Anudnya A Mehta & Associates **Employment Type**: Full-time **About Us**: Anudnya A Mehta & Associates is a reputed Chartered Accountancy firm specializing in audits and compliance services for SEBI-registered intermediaries such as...

  • Manager - Depository Operations

    4 days ago

    Mumbai, Maharashtra, India SafeGold Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Manager - Depository OperationsSAFEGOLD:Gold is the most trusted asset across the entire world and one of the largest asset classes in India. The total traded value of gold in India exceeds $300 billion annually – nearly all of it in an unorganised, offline manner. We, at SafeGold, are building the digital infrastructure to organise the gold market using...

  • Internal Audit

    1 week ago

    Mumbai, Maharashtra, India Skillventory Full time ₹ 15,00,000 - ₹ 25,00,000 per year

    Responsible and accountable for conducting internal audits of functions such as Treasury, Market Risk, ALM & FTP, Capital Adequacy & ICAAP, Trade Finance, Depository Participant, Custody, broking business etc.Conduct the internal audits in a time-bound manner as per the approved Risk Based Audit Plan, Internal Audit Policy and Internal Audit Process and...

  • Dp Executive- Depository Partcipant

    7 days ago

    Nariman Point, Mumbai, Maharashtra, India Nirmal Food Ghar Full time

    We are hiring for Depository Participant Executive Location - Nariman Point Company - Stock Broking Experience - 2-6 years (Must from Stock Broking company) Salary - 30-50 k pm Roles & Responsibilities: A Depository Participant (DP) Back Office role involves managing and supporting the operations of a depository service, facilitating the safekeeping of...

  • Head - Internal Audit

    3 weeks ago

    Mumbai, India BTI Executive Search Full time

    Head - Internal Audit for a leading bank in MumbaiThe Head of Internal Audit is responsible for providing independent, objective assurance and consulting services designed to add value and improve the organization's operations. This role helps the organization accomplish its objectives by bringing a systematic, disciplined approach to evaluating and...

  • Participant (DP) Services Role.

    2 weeks ago

    mumbai, India National Securities Depository Limited (NSDL) Full time

    Job Description Senior Manager: Understand SEBI/NSDL guidelines and oversee the preparation and issuance of circulars, operating guidelines, and regulatory directions to Depository Participants (DPs).Regularly review and update Master Circulars, Standard Operating Procedures (SOPs), manuals, and FAQs to ensure consistency and compliance.Coordinate with other...

  • Executive - Settlements Operations

    5 days ago

    Mumbai, Maharashtra, India National Securities Depository Full time

    **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...