Job DescriptionJob Purpose
NThe role is responsible for conducting inspections of Business Partners (BPs) and ensuring adherence to applicable regulatory requirements, policies, and guidelines stipulated by SEBI, NSDL, and other relevant regulatory authorities.
NThe position will also beresponsible for monitoring compliance, identifying process gaps, ensuring timely closure of inspection observations, regulatory reporting, and supporting continuous improvement of inspection and compliance processes.
NKey Responsibilities
nConduct periodic inspections of Business Partners and ensure timely completion and submission of inspection reports.
NMonitor and follow up on inspection observations and ensure timely submission and closure of subsequent compliances by Business Partners.
NManage the end-to-end process of monitoring, receiving, reviewing, and following up on periodic submissions from Business Partners as per the Compliance Calendar.
NIdentify process gaps, control weaknesses, and opportunities for improvement in existing processes.




NEnsure adherence to applicable SEBI, NSDL, KYC, and other regulatory requirements.
NDevelop a solid understanding of the KYC framework and other relevant application and process compliances.
NMonitor, review, and process inspection-related alerts and ensure appropriate action within defined timelines.
NPrepare MIS and periodic reports for management and ensure accurate and timely reporting.
NManage regulatory reporting and ensure compliance with applicable submission timelines.
NCoordinate with various internal departments to develop and enhance system controls, processes, procedures, and training initiatives.
NProactively follow up with Business Partners to ensure accurate and timely submission of all required compliances.
NInteract and coordinate with SEBI, MIIs, and other regulatory stakeholders on inspection and compliance-related matters.
NMaintain appropriate documentation and records of inspections

📌 Hiring: Manager (Alibag)
🏢 Harjai Technologies
📍 Alibag