Job Purpose

The 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.

The position will also be responsible for monitoring compliance, identifying process gaps, ensuring timely closure of inspection observations, regulatory reporting, and supporting continuous improvement of inspection and compliance processes.

Key Responsibilities

Conduct periodic inspections of Business Partners and ensure timely completion and submission of inspection reports.

Monitor and follow up on inspection observations and ensure timely submission and closure of subsequent compliances by Business Partners.

Manage the end-to-end process of monitoring, receiving, reviewing, and following up on periodic submissions from Business Partners as per the Compliance Calendar.

Identify process gaps, control weaknesses, and opportunities for improvement in existing processes.

Ensure adherence to applicable SEBI, NSDL, KYC,



and other regulatory requirements.

Develop a solid understanding of the KYC framework and other relevant application and process compliances.

Monitor, review, and process inspection-related alerts and ensure appropriate action within defined timelines.

Prepare MIS and periodic reports for management and ensure accurate and timely reporting.

Manage regulatory reporting and ensure compliance with applicable submission timelines.

Coordinate with various internal departments to develop and enhance system controls, processes, procedures, and training initiatives.

Proactively follow up with Business Partners to ensure accurate and timely submission of all required compliances.

Interact and coordinate with SEBI, MIIs, and other regulatory stakeholders on inspection and compliance-related matters.

Maintain appropriate documentation and records of inspections, observations, compliances, and regulatory s

📌 Regulatory Compliance Manager (Mumbai)
🏢 Harjai Technologies
📍 Mumbai