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.
Robust 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.
Strong reporting, documentation, and drafting skills.
Experience in stakeholder management and regulatory coordination.
Valuable analytical, problem-solving, and decision-making abilities.
Proficiency in MS Excel, reporting tools, and data analysis.
Solid communication, presentation, and interpersonal skills.
Ability to manage multiple tasks while ensuring adherence to timelines and SLAs.

📌 Manager Mumbai
🏢 MASTER MIND CONSULTANCY
📍 Mumbai