
Only 24h Left Senior Manager
3 weeks ago
Location: BKC, Mumbai
About the Role
We are seeking a highly experienced Senior Manager – Enforcement to lead disciplinary and regulatory processes in the BFSI/capital markets domain. The role involves managing a team, ensuring timely compliance with regulatory requirements, handling disciplinary proceedings against trading members, and collaborating with internal committees and external regulators.
Key Responsibilities
- Lead a team of 5–6 officers, ensuring adherence to defined SLAs and regulatory timelines.
- Oversee inspection report reviews, disciplinary proceedings, and preparation of cases for internal committees.
- Verify and issue show cause notices, action letters, and penalty approvals.
- Handle member queries, review requests, and appeals before higher authorities/SAT.
- Collate and finalize regulatory data requests from SEBI, auditors, and other bodies.
- Liaise with internal stakeholders (Compliance, Legal, Surveillance, IT, Committees) and external regulators (SEBI, EOW, MOF).
- Contribute to process automation, MIS development, and overall business excellence initiatives.
Performance Indicators
- Adherence to defined TATs & accuracy standards.
- Effective stakeholder management (internal & external).
- Timely regulatory responses and reporting.
- Team leadership and development.
- Continuous process improvement & innovation.
Qualifications & Experience
- CS/CA/MBA/LLB (mandatory).
- 13–15 years of experience in BFSI/Capital Markets with strong regulatory compliance exposure.
- Knowledge of statutory requirements in financial markets.
- Experience in presenting cases before Disciplinary Authorities, Committees, or SAT.
- Strong analytical, communication, and presentation skills.
What's in it for You
- A dynamic and challenging leadership role in a leading market ecosystem.
- Exposure to high-level regulatory interactions and disciplinary frameworks.
- Collaborative and growth-oriented work culture.
- Professional development and advancement opportunities.
If you are an experienced compliance/enforcement professional looking to take up a challenging leadership role in Mumbai, we'd love to connect.
Connect on jeena.sunil@evokehr.com
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