Manager

4 days ago


Malappuram, India Evoke HR Solutions Pvt. Ltd. Full time

Senior Manager / Manager / Assistant Manager / Senior Executive – Audit & Inspection (SEBI Regulatory Compliance)Location: MumbaiExperience Required:Sr. Executive: 3–5 yearsAM: 5–8 yearsManager / Sr. Manager: 8–12+ yearsAbout the RoleWe are seeking strong professionals from the Stock Broking, Capital Markets, and Securities domain to join our Audit & Inspection team. The role involves ensuring regulatory compliance, conducting onsite/remote inspections, driving process improvements, and maintaining high governance standards in alignment with SEBI guidelines and internal frameworks.Key ResponsibilitiesConduct risk-based internal audits, inspections, and compliance checks across branches/operationsEnsure strict adherence to SEBI, Exchanges, and other regulatory requirementsIdentify gaps, propose corrective actions, and monitor timely closuresWork closely with Business, Compliance, Operations, and Risk Teams to update policies and SOPsPrepare high-quality audit reports, dashboards, and compliance documentation for management and regulatorsLead and drive special assignments, investigations, and process-level reviewsSupport regulatory audits and inspections by external bodiesProvide knowledge support, mentoring, and functional training to junior team members (for Manager / SM roles)Required Skills & CompetenciesStrong understanding of Capital Markets operations, Stock Broking processes, Exchanges & Clearing CorporationsProven expertise in:Inspection & Internal AuditRegulatory & SEBI ComplianceRisk control systems and governance frameworksAbility to analyse data and present clear and actionable insightsExcellent communication and stakeholder management skillsInterested Candidate can Share Their CV to cv.hr@evokehr.com


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