Job Title : Deputy Manager - CA

Experience : 0 to 3 Years

Location : Mumbai

Roles & Responsibilities

- Conduct onsite and offsite inspections of members as per compliance and inspection schedules.

- Monitor member submissions and trading activities to ensure regulatory compliance.

- Prepare inspection reports, observation sheets, and compliance findings.

- Analyze compliance data and identify potential risks, deviations, or irregularities.

- Expand inspection scope based on observations and regulatory requirements.

- Coordinate closure meetings and follow up on corrective actions with members.

- Conduct compliance visits for newly registered members and provide guidance on regulatory requirements.

- Escalate non-compliance issues, delays, or operational concerns to management.

- Collate, analyze, and prepare reports for regulatory authorities and internal stakeholders.

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

Requisites




- Bachelor//'s degree in Commerce, Finance, Accounting, Business Administration, Economics, or a related field.

- Robust understanding of compliance, audit, inspection, and regulatory processes.

- Knowledge of capital markets, stock exchanges, broking operations, and financial regulations.

- Experience in data analysis, report preparation, and compliance monitoring.

- Familiarity with regulatory guidelines and financial market practices.

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

- Strong analytical, investigative, and problem-solving abilities.

- Excellent communication, stakeholder management, and documentation skills.

- Ability to conduct inspections, audits, and compliance reviews independently.

- Preferred industry exposure in Broking, Capital Markets, Audit Firms, Financial Services, or Consulting.

📌 Deputy Manager - CA (India)
🏢 MASTER MIND CONSULTANCY
📍 India