Job Description

Job Purpose

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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.

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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.

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Key Responsibilities

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

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

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

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

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Ensure adherence to applicable SEBI, NSDL, KYC, and other regulatory requirements.

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

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

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

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Manage regulatory reporting and ensure compliance with applicable submission timelines.

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

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

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

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Maintain appropriate documentation and records of inspections, observations, compliances, and regulatory submissions.

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Work closely with internal and external stakeholders to resolve compliance issues and ensure effective implementation of corrective actions.

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Contribute to continuous improvement of the overall inspection and regulatory compliance framework.

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Candidate Profile

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Must Educational Qualification

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CA / CS / MBA / LLB / LLM

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Experience

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1–6 years of relevant experience in Regulatory Compliance, Inspection, Capital Markets, Stock Broking, Depository, KYC, or related functions.

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Candidates with experience in dealing with SEBI, NSDL, MIIs, Business Partners, or regulatory audits/inspections will be preferred.

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Functional Competencies

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Good understanding of SEBI / NSDL regulations, guidelines, and compliance requirements.

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Sound knowledge of KYC framework and related regulatory requirements.

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Basic understanding of capital markets and related processes.

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Solid analytical and problem-solving skills.

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Excellent attention to detail and ability to identify compliance gaps.

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Ability to review regulatory requirements and ensure effective implementation.

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Good knowledge of MS Office, particularly Excel and PowerPoint.

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Ability to prepare MIS, management reports, and regulatory submissions.

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Strong documentation and reporting skills.

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Behavioural Competencies

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Excellent written and verbal communication skills.

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Strong interpersonal and stakeholder management skills.

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Ability to interact confidently with senior officials of Business Partners.

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High level of ownership, integrity, and accountability.

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Proactive approach towards identifying and resolving compliance issues.

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Strong follow-up and coordination skills.

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Ability to work independently as well as collaboratively with cross-functional teams.

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Ability to manage multiple activities and deliver within defined timelines.

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Other Requirements

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Willingness and flexibility to travel across India as required for conducting inspections and meeting Business Partners.

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Candidate should be comfortable with frequent travel within India based on business and inspection requirements.

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Should be comfortable interacting with internal and external stakeholders at various levels.

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Ability to work effectively under time-sensitive and regulatory-driven requirements

📌 Manager / Senior Manager - Regulatory Inspection OR Clearing (Mumbai)
🏢 Harjai Technologies
📍 Mumbai