Manager

Senior Manager / Manager / Assistant Manager / Senior Executive – Audit & Inspection (SEBI Regulatory Compliance)

Location:

Mumbai

Experience Required:

• Sr. Executive: 3–5 years
• AM: 5–8 years
• Manager / Sr. Manager: 8–12+ years

About the Role

Stock Broking, Capital Markets, and Securities

Key Responsibilities

• Conduct

  risk-based internal audits, inspections, and compliance checks

  across branches/operations
• Ensure

  strict adherence to SEBI, Exchanges, and other regulatory requirements

• Identify gaps, propose corrective actions, and monitor timely closures
• Work closely with Business, Compliance, Operations, and Risk Teams to update

  policies and SOPs

• Prepare high-quality

  audit reports, dashboards, and compliance documentation

  for management and regulators
• Lead and drive

  special assignments

  , investigations, and process-level reviews
• Support regulatory audits and inspections by external bodies
• Provide knowledge support, mentoring, and functional training to junior team members (for Manager / SM roles)

Required Skills & Competencies

• Strong understanding of

  Capital Markets operations, Stock Broking processes, Exchanges & Clearing Corporations

• Proven expertise in:

• Inspection & Internal Audit

• Regulatory & SEBI Compliance

• Risk control systems and governance frameworks
• Ability to analyse data and present

  clear and actionable insights

• Excellent communication and stakeholder management skills

cv.hr@evokehr.com