Chief Manager - Inspection Compliance

Job description

We are seeking a highly motivated Regulatory Compliance and Review Specialist to join our team who will be responsible for assessing and ensuring adherence to regulatory requirements and internal policies across the organization. This role involves handling onsite & offsite inspections, conducting detailed reviews, broking and non-broking audits, and assessments to identify compliance risks and recommend corrective actions. **Key Responsibilities :** **Descriptive Parameters:** 1.Onsite and offsite inspections of SEBI & Exchanges - Handling onsite and offsite inspections of SEBI & Exchanges 2.Compliance & Regulatory Audits: - Handling broking and non-broking audits - Perform regular compliance audits to ensure adherence to laws, regulations, and company policies. 3.Risk Assessment: - Identify and evaluate potential compliance risks and recommend mitigation strategies. 4.Policy Review: - Review and update compliance policies and procedures to reflect current regulations and best practices. 5.Documentation: - Maintain comprehensive records of compliance activities, audit findings, and corrective actions taken. 6.Training & Support: - Develop and deliver training programs to educate employees about compliance requirements and best practices. 7.Reporting: - Prepare detailed reports on audit findings, compliance status, and improvement recommendations for senior management. 8.Investigations: - Conduct investigations into compliance breaches or potential violations and recommend appropriate actions 9.Collaboration: - Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals. **Qualification:** Graduate/CA / CS / CA Inter / Master's Degree or Equivalent Qualification Certifications in Capital Market/ relevant work experience in onsite & offsite inspections and audits will be added advantage