DP Operations & Compliance Manager

Gateway Financial; Kolkata District; Presencial; INR 1.200.000 - 1.800.000; Jornada completa

Descripción de la vacante

Gateway Financial Services Limited in Kolkata seeks an experienced DP Operations & Compliance Manager to oversee day-to-day DP functions, ensure regulatory adherence, and supervise the DP team.

The role focuses on accurate processing, reconciliations, audits, and client servicing while maintaining strong maker-checker controls and timely regulatory reporting, with emphasis on KYC/CKYC and SEBI compliance.

Formación

• 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.
• 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.

Responsabilidades

• Manage end-to-end DP operations including account opening, modification, closure, demat/remat, transmission, pledge/unpledge, and other DP-related transactions.
• Ensure timely and accurate processing of client instructions in accordance with 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.

Conocimientos

DP Operations

NSDL/CDSL

SEBI Compliance

KYC/CKYC

Reconciliation

Audit

Inspection

Regulatory Reporting

Client Servicing

Internal Controls

Team Management

Educación

Graduate in Commerce/Finance/Business Admin

Herramientas

NSDL/CDSL platforms

Descripción del empleo

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.
• 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

Preferred Background

Candidates currently working or having prior experience with reputed stock broking companies, Depository Participants, banks or financial institutions will be preferred.