Internal Audit and Regulatory Oversight Manager

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 Role

The main goal is to ensure that Trading Members (stock brokers) strictly follow all regulatory norms

• 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

1. Overseeing inspections conducted by regional offices.
2. Review the Inspection observation sheet and discuss observations with regional teams.
3. Reviewing Inspection reports prepared by region...