Senior Manager - Compliance - Financial Services

Qualification: CA / CS / MBA.

Experience: 3 to 15 years of relevant experience.

Role Overview:

- The role involves conducting onsite inspections and audits of exchange members to ensure compliance with SEBI regulations, internal policies, and operational guidelines.

- The position requires strong analytical and auditing expertise along with effective coordination and stakeholder management skills.

Key Responsibilities:

- Issue Letters of Intimation to members for regular and special-purpose inspections as per the approved inspection plan.

- Schedule inspections in coordination with members and relevant internal departments.

- Send inspection data requirements and PIQs to members and follow up for timely submission.

- Coordinate and collate inspection-related data from various departments within the Exchange.

- Analyze data received from different sources to identify potential risk areas and ensure accuracy.

- Conduct onsite inspections at member locations as per the defined checklists and scope.

- Collect and verify documents and maintain complete inspection records.

- Prepare Field Observation Sheets (FOS), obtain member responses, and compile findings.

- Draft and submit inspection reports for verification and review.

- Resolve post-inspection queries raised by the inspection review team.

- Participate in Special Purpose Inspections as mandated by SEBI or other internal departments.

- Prepare and maintain Inspection MIS and related reports on a timely basis.

- Provide data and support for SEBI or other regulatory authority requests.

- Handle member queries related to circulars, inspection processes, and compliance issues via email or meetings.

Key Skills & Competencies:.

- Strong knowledge of SEBI regulations, exchange operations, and compliance frameworks.

- Hands-on experience in inspection, audit, or risk management in financial institutions or regulatory bodies.

- Excellent analytical, documentation, and reporting abilities.

- Strong organizational skills with the ability to manage multiple inspections and timelines.

- Effective communication and coordination skills with internal and external stakeholders.