Job Title : Senior Manager Inspection and Internal Control
Experience : 9 to 13 Years
Location : Mumbai
Roles & Responsibilities
- Oversee onsite inspections and compliance visits conducted by regional offices.
- Review inspection observation sheets, reports, and compliance findings.
- Monitor trading member data and identify compliance gaps or regulatory concerns.
- Expand inspection scope beyond standard checklists wherever required.
- Draft and manage Limited Purpose Inspection scopes for trading members.
- Analyze internal audit reports submitted by members and highlight non-compliance issues.
- Coordinate with committees and prepare agendas related to member compliance matters.
- Track annual returns, net-worth reports, and financial submissions of members.
- Identify early warning signals and initiate corrective or regulatory actions.
- Handle compliance follow-ups through emails, calls, and official communication.
- Coordinate with regulators and internal departments for data collation and reporting.
- Prepare monthly, half-yearly, and annual compliance and activity reports.
- Organize training sessions and investor awareness programs for stakeholders.
- Support process improvements, team development, and operational best practices.
Requisites
- Bachelor’s or Master’s degree in Finance, Commerce, Business Administration, or related field.
- Strong understanding of regulatory compliance, inspections, and internal controls.
- Knowledge of financial markets, trading member regulations, and audit processes.
- Experience in compliance monitoring, data analysis, and reporting activities.
- Familiarity with regulatory and exchange compliance requirements.
- Strong analytical, problem-solving, and risk assessment skills.
- Ability to interpret financial statements, audit reports, and compliance data.
- Good communication and stakeholder management abilities.
- Proficiency in MS Excel, reporting tools, and documentation management.
- Strong organizational skills with the ability to manage multiple activities simultaneously.
- Team handling and coordination capabilities.
- Attention to detail and ability to work in a deadline-driven environment.
