Job Title : Manager

Experience : 3 to 5 Years

Location : Mumbai

Roles & Responsibilities

- Manage and oversee onsite inspections and compliance reviews of trading members as per regulatory guidelines.

- Plan and prepare inspection schedules based on risk assessment and member categorization.

- Review, verify, and approve inspection reports, observation sheets, and compliance findings.

- Monitor member adherence to regulatory requirements, audit submissions, net worth declarations, and statutory filings.

- Analyze audit reports and initiate corrective actions for non-compliant members.

- Issue reminders, penalty notes, approval notes, and compliance-related communications.

- Coordinate with regulatory bodies and internal departments for data collation, reporting, and compliance activities.

- Track regulatory updates and maintain compliance calendars, circulars, and violation records.

- Handle member queries and provide guidance on regulatory and compliance matters.

- Organize and conduct training programs, compliance awareness sessions, and investor education initiatives.

- Monitor SLA adherence,



inspection timelines, and team performance.

- Support process improvements and ensure effective implementation of regulatory frameworks.

Requisites
- Chartered Accountant (CA) qualification.

- Strong knowledge of Capital Markets, Stock Broking Operations, and Financial Services.

- Understanding of regulatory compliance frameworks and statutory requirements.

- Experience in Audit, Inspection, Compliance Monitoring, and Risk Assessment.

- Ability to analyze financial statements, net worth reports, audit reports, and regulatory submissions.

- Solid reporting, documentation, and drafting skills.

- Experience in stakeholder management and regulatory coordination.

- Good analytical, problem-solving, and decision-making abilities.

- Proficiency in MS Excel, reporting tools, and data analysis.

- Strong communication, presentation, and interpersonal skills.

- Ability to manage multiple tasks while ensuring adherence to timelines and SLAs.

📌 Manager (India)
🏢 MASTER MIND CONSULTANCY
📍 India