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Depository Participant, Compliance, PMLA Audit

Job Description:

Download of KYC data uploaded on i-Assist & verifying, updating & uploading on i-Assist
Download & verification of FIU/PMLA Alerts generated in NSDL & CDSL system
Preparation of STR Registers
Preparation of Monthly Investor Grievances Reports and forwarding to Depositories (NSDL & CDSL)
Updation of CAMRS reports and providing to compliance department on quarterly basis
Submitting Net worth Certificate for both NSDL & CDSL
Sending Compliance Certificates to both NSDL & CDSL on half-yearly basis
Ensuring monthly reports are closed and submitted by the Concurrent Auditors for (NSDL & CDSL)
Providing feedback / rectification status to CAD for DP & Broking monthly reports
Coordinating with Concurrent auditors to submit half yearly reports of CDSL & NSDL
Providing any specific information whenever the Internal auditors or CAD team requires
Providing data / inputs for SEBI inspections
Handling effectively annual inspections of NSDL & CDSL
Coordinating ISO/DNV audits & replies
Providing required data to other regulators like EOW, IT Depts etc.

Salary:INR 2,00,000 – 5,00,000 P.A
Industry:Banking / Financial Services / Broking
Functional Area:Accounts , Finance , Tax , Company Secretary , Audit
Role Category:Finance/Audit
Role:Audit Manager


Compliance Monthly Reports

Desired Candidate Profile:


UG: Any Graduate – Any Specialization, Graduation Not Required
PG:Any Postgraduate – Any Specialization, Post Graduation Not Required, MBA/PGDM – Any Specialization
Doctorate:Any Doctorate – Any Specialization, Doctorate Not Required
Company Profile:

Karvy Stock Broking Limited
KARVY, is a premier integrated financial services provider, and ranked among the top five in the country in all its business segments, services over 16 million individual investors in various capacities, and provides investor services to over 300 corporates, comprising the who is who of Corporate India. KARVY covers the entire spectrum of financial services such as Stock broking, Depository Participants, Distribution of financial products – mutual funds, bonds, fixed deposit, equities, Insurance Broking, Commodities Broking, Personal Finance Advisory Services, Merchant Banking & Corporate Finance, placement of equity, IPOs, among others. Karvy has a professional management team and ranks among the best in technology, operations and research of various industrial segments.|

Recruiter Name:Karuna
Email Address:[email protected]
Reference Id:DP