1. 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.

1. 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.

1. 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.

1. 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.

1. 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.

1. CORE COMPETENCIES

- Strong 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 qualified 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