- CLIENT & COMPLIANCE MANAGEMENT

- Independently manage multiple broking clients for internal audits, regulatory compliance, and ongoing SEBI/Exchange reporting.
- Ensure timely preparation of monthly and quarterly compliance reports, including interpretation and implementation of the latest SEBI, Exchange, and Depository circulars.
- Provide high-quality client communication through technically sound and professionally drafted emails and documentation.

2. AUDIT & ASSURANCE FUNCTIONS
- Lead and review internal audits, concurrent audits, and compliance health checks.
- Conduct process audits to identify operational gaps and suggest preventive measures for such lapses.
- Draft Standard Operating Procedures (SOPs) for clients.
- Scrutinise potential misallocation/mis-utilisation of client funds and related audit trails.
- Handle Risk-Based Supervision (RBS) framework data gathering and validation.
- Issue Net Worth Certificates, annual compliance certifications, and regulatory submissions.
- Review client fund segregation, ledger scrutiny, client code modifications, KYC/AML checks, margin reporting, and FDR verifications.
- Finalize audit reports and observations with a focus on regulatory compliance, professional language, and client clarity.

3. TEAM & MIS MANAGEMENT
- Supervise a team of article assistants and junior staff.
- Ensure efficient task allocation, monitoring, and review.
- Maintain a Team Performance MIS, capturing completion status, delays,



and team member resistance.
- Submit monthly reporting of team performance, audit status, and other deliverables to the Partners.

4. REGULATORY MONITORING & TEAM DEVELOPMENT
- Stay updated with applicable regulatory changes from SEBI, NSE, BSE, MCX, CDSL, and NSDL.
- Maintain a compliance applicability matrix for each client.
- Conduct internal training and compliance briefings to upskill the team.

5. SKILLS, COMPETENCIES & TECHNICAL PROFICIENCY
- Proficient in Microsoft Excel (pivot tables, VLOOKUP, MIS formatting).
- Proficient in Word (report templates, formatting) and PowerPoint (compliance decks, presentations).
- Skilled in professional email drafting, regulatory documentation, and client communication.
- Familiarity with data analysis tools such as KNIME, Power BI, and IDEA is an added advantage.
- Experience with broking back-office software is a plus.

6. CORE COMPETENCIES
- Solid understanding of SEBI/Exchange/Depository guidelines, audit procedures, and compliance frameworks.
- Effective in multi-client handling, team management, and maintaining high-quality outputs consistently.
- High level of professional scepticism, analytical acumen, and a proactive learning mindset.
- Strong documentation skills, attention to detail, and timely execution.

Pay: ₹700,000.00 - ₹800,000.00 per year

Benefits

- Health insurance

Work Location: In person

📌 Team Lead (Sion)
🏢 SHAH KAPADIA u0026 ASSOCIATES
📍 Sion