DP And Compliance Executive

Actively Reviewing the Applications

Pocketful

10–20 years

Posted 2 days ago • Apply by June 11, 2026

Job Description

Roles and Responsibilities

Oversee the DP account opening division, managing the process from initial application through final approval and activation.
Ensure compliance with regulatory standards in all DP account opening and maintenance activities.
Provide expert guidance to clients on the documentation and requirements needed for account opening.
Work closely with internal teams such as compliance, operations, and customer service to ensure seamless account opening for clients.
Stay current with regulatory changes and communicate updates to relevant teams.
Ensure accurate and timely record keeping of account opening documentation and procedures.
Develop and maintain strong relationships with clients, providing exceptional customer service and support throughout the account opening process.
Collaborate with cross-functional teams to identify and implement process improvements to enhance efficiency and productivity.
Conduct regular compliance audits and risk assessments to ensure adherence to regulatory requirements.
Develop and implement compliance policies and procedures to mitigate risks and enhance the company's regulatory framework.

Experience - Essential Desired – 7+ years DP and Compliance experience in the financial, securities, or institutional broking firms.

Bachelor's degree in finance, law, or related field.
Minimum 7 years of experience in broking, with a focus on DP and compliance.
Excellent knowledge of DP account opening procedures, regulations, and compliance requirements.
Strong attention to detail and ability to manage multiple tasks simultaneously.
Exceptional communication skills, with the ability to effectively interact with clients, internal teams, and external stakeholders.
Proven track record of delivering exceptional customer service.
Strong problem-solving skills and ability to identify and implement process improvements.
Ability to work independently and collaboratively in a fast-paced environment.
Proficient in Microsoft Office and other relevant software.

Why should you join us?

Good peers and relaxed work environment: You'll directly be working with IITians and Ivy League graduates. While everyone believes in hard work, we like to have fun and keep the working environment light, engaging, positive, and open to new ideas.
Cutting-edge technology: Both the mentioned business divisions drive a lot of innovation in hardware, computer networking, and the fintech domain. Be at the forefront of this evolution while working with us.
Competitive compensation: The financial technology industry is well-known for compensating its employees well. If you're willing to put in the hard work, the possibilities are endless