Senior Manager Inspection and Internal Control

Job Title : Senior Manager Inspection and Internal Control

Experience : 9 to 13 Years

Location : Mumbai

Roles & Responsibilities

• Oversee onsite inspections and compliance visits conducted by regional offices.
  
• Review inspection observation sheets reports and compliance findings.
  
• Monitor trading member data and identify compliance gaps or regulatory concerns.
  
• Expand inspection scope beyond standard checklists wherever required.
  
• Draft and manage Limited Purpose Inspection scopes for trading members.
  
• Analyze internal audit reports submitted by members and highlight non-compliance issues.
  
• Coordinate with committees and prepare agendas related to member compliance matters.
  
• Track annual returns net-worth reports and financial submissions of members.
  
• Identify early warning signals and initiate corrective or regulatory actions.
  
• Handle compliance follow-ups through emails calls and official communication.
  
• Coordinate with regulators and internal departments for data collation and reporting.
  
• Prepare monthly half-yearly and annual compliance and activity reports.
  
• Organize training sessions and investor awareness programs for stakeholders.
  
• Support process improvements team development and operational best practices.

• Bachelors or Masters degree in Finance Commerce Business Administration or related field.
  
• Strong understanding of regulatory compliance inspections and internal controls.
  
• Knowledge of financial markets trading member regulations and audit processes.
  
• Experience in compliance monitoring data analysis and reporting activities.
  
• Familiarity with regulatory and exchange compliance requirements.
  
• Strong analytical problem-solving and risk assessment skills.
  
• Ability to interpret financial statements audit reports and compliance data.
  
• Good communication and stakeholder management abilities.
  
• Proficiency in MS Excel reporting tools and documentation management.
  
• Strong organizational skills with the ability to manage multiple activities simultaneously.
  
• Team handling and coordination capabilities.
  
• Attention to detail and ability to work in a deadline-driven environment.

Required Skills:

Internal AuditSEBI RegulationCapital MarketAudit ReportsFinancial StatementsCompliance DataStakeholder Management