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 ResponsibilitiesnConduct 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, observations, compliances, and regulatory submissions.



NWork closely with internal and external stakeholders to resolve compliance issues and ensure effective implementation of corrective actions. NContribute to continuous improvement of the overall inspection and regulatory compliance framework. NCandidate ProfilenMust Educational Qualification NCA / CS / MBA / LLB / LLM NExperiencen1–6 years of relevant experience in Regulatory Compliance, Inspection, Capital Markets, Stock Broking, Depository, KYC, or related functions. NCandidates with experience in dealing with SEBI, NSDL, MIIs, Business Partners, or regulatory audits/inspections will be preferred. NFunctional Competencies NGood understanding of SEBI / NSDL regulations, guidelines, and compliance requirements. NSound knowledge of KYC framework and related regulatory requirements. NBasic understanding of capital markets and related processes. NStrong analytical and problem-solving skills. NExcellent attention to detail and ability to identify compliance gaps. NAbility to review regulatory requirements and ensure effective implementation. NGood knowledge of MS Office, particularly Excel and PowerPoint. NAbility to prepare MIS, management reports, and regulatory submissions. NStrong documentation and reporting skills. NBehavioural Competencies NExcellent written and verbal communication skills. NStrong interpersonal and stakeholder management skills. NAbility to interact confidently with senior officials of Business Partners. NHigh level of ownership, integrity, and accountability. NProactive approach towards identifying and resolving compliance issues. NStrong follow-up and coordination skills. NAbility to work independently as well as collaboratively with cross-functional teams. NAbility to manage multiple activities and deliver within defined timelines. NOther RequirementsnWillingness and flexibility to travel across India as required for conducting inspections and meeting Business Partners. NCandidate should be comfortable with frequent travel within India based on business and inspection requirements. NShould be comfortable interacting with internal and external stakeholders at various levels. NAbility to work effectively under time-sensitive and regulatory-driven requirements

📌 Manager / Senior Manager - Regulatory Inspection Or Clearing (Alibag)
🏢 Harjai Technologies
📍 Alibag