Inspection (Manager, Senior Manager, Deputy Manager)

Upman Placements; Mumbai; Vor Ort; INR 900.000 - 1.500.000; Vollzeit

Zusammenfassung

A Leading Financial Services & Capital Market Organization in Mumbai is seeking a skilled professional for Inspection & Compliance to conduct partner inspections, monitor SEBI/KYC compliance, and coordinate with stakeholders. The role involves extensive travel across India and requires 2–6 years of relevant experience.

The candidate should have a professional degree (CA/CS/MBA/LLB/LLM or equivalent) and strong analytical, reporting, and communication skills. Immediate joining is preferred.

Qualifikationen

• CA / CS / MBA / LLB / LLM / Postgraduate degree is mandatory.
• Relevant experience in Inspection, Internal Audit, Regulatory Compliance, Risk Management, Financial Services or Capital Market Operations.
• Good understanding of SEBI regulations, KYC framework and compliance procedures.
• Strong analytical, reporting and documentation skills.
• Good communication and stakeholder management abilities.
• Proficiency in MS Excel, MIS and reporting.

Aufgaben

• Conduct inspections of Business Partners and ensure timely submission of inspection reports.
• Monitor compliance with SEBI regulations, KYC guidelines and other applicable regulatory requirements.
• Review and monitor periodic submissions from Business Partners as per the Compliance Calendar.
• Identify compliance gaps, process deviations and opportunities for process improvement.
• Prepare MIS, inspection reports and periodic management reports.
• Ensure timely completion of regulatory reporting and subsequent compliance activities.
• Coordinate with internal departments to strengthen system controls, procedures and compliance processes.
• Monitor and process inspection-related alerts and ensure appropriate action.
• Coordinate with Market Infrastructure Institutions (MIIs), SEBI and other relevant stakeholders on compliance-related matters.
• Follow up with Business Partners to ensure timely submission of mandatory documents and reports.

Kenntnisse

Analytical skills

Reporting

Documentation skills

Communication skills

Stakeholder management

Ausbildung

CA / CS / MBA / LLB / LLM / Postgraduate degree

Tools

MS Excel

MIS reporting

Jobbeschreibung

Job Opening Inspection & Compliance

Company: A Leading Financial Services & Capital Market Organization

Location: Mumbai (BKC), Maharashtra
Department: Audit & Control Inspection & Compliance
Employment Type: Full-time
Experience: 2–6 Years
Positions: Deputy Manager / Manager / Senior Manager

About the Company

Our client is one of India's leading securities depositories, providing electronic infrastructure for holding and managing securities in Demat form. The organization plays an important role in India's capital market ecosystem, working with Depository Participants and other market intermediaries.

Job Purpose

To conduct inspections and monitor regulatory compliance of the organization's Business Partners (BPs), ensuring adherence to applicable SEBI regulations, KYC requirements, operational procedures and compliance guidelines.

Key Responsibilities

• Conduct inspections of Business Partners and ensure timely submission of inspection reports.
• Monitor compliance with SEBI regulations, KYC guidelines and other applicable regulatory requirements.
• Review and monitor periodic submissions from Business Partners as per the Compliance Calendar.
• Identify compliance gaps, process deviations and opportunities for process improvement.
• Prepare MIS, inspection reports and periodic management reports.
• Ensure timely completion of regulatory reporting and subsequent compliance activities.
• Coordinate with internal departments to strengthen system controls, procedures and compliance processes.
• Monitor and process inspection-related alerts and ensure appropriate action.
• Coordinate with Market Infrastructure Institutions (MIIs), SEBI and other relevant stakeholders on compliance-related matters.
• Follow up with Business Partners to ensure timely submission of mandatory documents and reports.

Eligibility Criteria

• Educational Qualification: CA / CS / MBA / LLB / LLM / Postgraduate degree is mandatory.
• Relevant experience in Inspection, Internal Audit, Regulatory Compliance, Risk Management, Financial Services or Capital Market Operations.
• Good understanding of SEBI regulations, KYC framework and compliance procedures.
• Strong analytical, reporting and documentation skills.
• Good communication and stakeholder management abilities.
• Proficiency in MS Excel, MIS and reporting.

Work Requirements

• The role involves extensive pan-India travel for conducting inspections.
• Candidates must be comfortable with frequent travelling.
• Immediate joiners, candidates serving notice period or those available to join within 30 days will be preferred.
• Face-to-face interview process.