- Assist in internal audit of Depository Participant (DP) operations as per CSDL norms
- Verify KYC documentation, account opening forms client records
- Review demat account processes, transaction statements reconciliations
- Check compliance with SEBI / CSDL circulars operating instructions
- Identify gaps, observations non-compliances
Documentation Reporting
Preparation of audit working papers and checklists
Drafting internal audit reports and observations
Maintaining audit documentation evidence files
Follow-up on audit observations corrective actions
- Coordinate with DP officials / clients for data clarifications
- Liaise internally with audit seniors / partners
- Support during concurrent / internal / regulatory audits
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