Job Title

We are looking for a proactive and detail-oriented Associate to support Depository Participant (DP) Compliance for our retail broking operations. The role involves ensuring regulatory adherence across a high-volume retail client base, supporting client account lifecycle processes, and assisting in compliance monitoring, reporting, and audits.Experience: 2 to 4 yearsRoles and Responsibilities:Ensure compliance with regulations and circulars issued by SEBI, NSDL, and CDSL Support end-to-end DP account lifecycle management (account opening, modification, closure) for retail clients Review and validate KYC documentation in line with regulatory and internal compliance standards Monitor daily DP transactions (demat, remat, off-market transfers, pledges, etc.) and highlight exceptions Assist in handling investor grievances and ensure timely resolution within regulatory timelines Prepare and submit periodic reports (MIS, compliance reports, exception reports) to regulators and internal stakeholders Support internal audits, regulatory inspections, and compliance testing Track and implement regulatory updates, circulars, and compliance requirements Coordinate with customer support and operations teams to ensure seamless client servicing while maintaining compliance Maintain proper documentation and audit trails for all DP-related activitiesQualifications:Bachelor’s degree in Commerce, Finance, or related field Basic understanding of retail broking operations and depository services Familiarity with KYC/AML norms and investor servicing processes