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.
Solid 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.
Robust 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 Mumbai (India)
🏢 MASTER MIND CONSULTANCY
📍 India