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.
Solid 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.
Solid 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.
Solid 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.

📌 Senior Manager Inspection And Internal Control Mumbai
🏢 MASTER MIND CONSULTANCY
📍 Mumbai