Sr. Manager - Internal Audit (Regulatory & Inspection)
Location
mumbai, maharashtra
Job Type
Full-time
Category
Other-General
Posted
June 12, 2026
Job Overview :
This is a mid-to-senior level leadership role in a Capital Market Conglomerate. The role is responsible for overseeing compliance and inspection of Trading Members / Stock Brokers to ensure they adhere to regulatory norms
.
Core Purpose of the Ro
The main goal is to ensure that Trading Members (stock broker s) strictly follow all regulatory norms b
- Conducting and overseeing onsite inspections
- Verifying documents and audit reports
- Monitoring compliance
- Taking action against non-compliant members
Key Responsibilities :
1. Overseeing Onsite Inspections / Compliance Visits
- Overseeing inspections conducted by regional offices.
- Review the Inspection observation sheet and discuss observations w...