Compliance and Dp Operations

**_Department: Compliance and DP Operations_**

**_Location: PlusWealth Capital Management, Noida_**

**_Reports To: Compliance Manager_**

**_Job Summary:_**

The Compliance and DP Operations Specialist is responsible for executing daily compliance and depository participant (DP) tasks, ensuring adherence to regulatory requirements and company policies. This role involves reviewing and circulating daily circulars, managing reports and alerts, handling IT-related compliance work, and performing various DP-related operations.

**_Key Responsibilities:_**

**Compliance and DP Operations**:

- **Daily Circulars**:

- Review and circulate daily exchange circulars to relevant departments.
- **Reporting**:

- Prepare and submit collateral reports.
- Generate and distribute holding reports.
- Manage allocation mismatch reports.
- Maintain and update the penalty dashboard.
- **Alerts**:

- Monitor and respond to PNC alerts.
- Handle transactional alerts promptly.
- **IT Compliance**:

- Manage TAP IP and rack allotments/surrenders.
- Facilitate user ID creation, shifting, and surrender.
- Conduct CTCL ULC mapping.
- Adjust message rates as needed.
- Manage new lease line installations, shifting, and surrender.
- Handle changes in user names and certificates.
- Enable PRO features.
- Process algo and strategy approvals.
- **DP Operations**:

- Upload daily files to CDSL and CAPEX.
- Process daily and monthly billing activities.
- Generate holding reports.
- Manage pay-out and pay-in processes.
- Execute early pay-in processes.
- Handle margin pledge and unpledge activities.
- Oversee account opening processes.
- Perform modifications in demat and trading accounts.
- Execute modifications in CDSL and CAPEX systems.
- Update UCI for NSE and BSE.
- Process physical and reissued DIS (Delivery Instruction Slips).
- Generate and upload daily pledge valuation files.
- Manage Securities Lending and Borrowing (SLBM) processes.

**_Qualifications:_**
- Bachelor’s degree in Finance, Business Administration, or related field.
- 2+ years of experience in compliance or DP operations within Stock broking or finance organisation.
- Strong understanding of regulatory requirements and exchange circulars.
- Proficiency with financial and compliance software.
- Excellent attention to detail and organizational skills.
- Strong analytical and problem-solving abilities.
- Effective communication skills, both written and verbal.
- Ability to manage multiple tasks and prioritize effectively.

**_Good To Have_**
- Certification in Compliance or a related field.
- Experience with CDSL, CAPEX, NSE, and BSE systems.
- NISM Certificate Series 7 (SORM) or Series 8 (Equity Derivatives)
- Knowledge of Stock market and basic IT terms
- Knowledge of IT processes related to compliance and DP operations.

**_Key Competencies:_**
- **Attention to Detail**: Ensures accuracy in all tasks.
- **Analytical Skills**: Analyzes complex data to generate insights.
- **Communication**: Effectively conveys information to relevant departments.
- **Organizational Skills**: Manages time and prioritizes tasks to meet deadlines.
- **Problem-Solving**: Identifies issues and develops prompt solutions.

**About PlusWealth Capital Management LLP**: PlusWealth LLP is a proprietary high frequency trading firm active in multiple trading markets including cash equities, options, and futures. We believe in adapting and ameliorating the thriving trading algorithms through our data driven and tech-based trading platform. We not only aim to build in the scope as a trading giant but we focus on becoming fastest machine learning oriented trading platform. We are looking out to further build our engineering team with the most promising technologist’s at heart.

**We believe in our core values setting to THINK. TECH. TRADE if you think the same, we have you.