Team Lead

1. CLIENT & COMPLIANCE MANAGEMENT

• Independently manage multiple broking clients for internal audits, regulatory compliance, and ongoing SEBI/Exchange reporting.
• Ensure timely preparation of monthly and quarterly compliance reports, including interpretation and implementation of the latest SEBI, Exchange, and Depository circulars.
• Provide high-quality client communication through technically sound and professionally drafted emails and documentation.

2. AUDIT & ASSURANCE FUNCTIONS

• Lead and review internal audits, concurrent audits, and compliance health checks.
• Conduct process audits to identify operational gaps and suggest preventive measures for such lapses.
• Draft Standard Operating Procedures (SOPs) for clients.
• Scrutinise potential misallocation/mis-utilisation of client funds and related audit trails.
• Handle Risk-Based Supervision (RBS) framework data gathering and validation.
• Issue Net Worth Certificates, annual compliance certifications, and regulatory submissions.
• Review client fund segregation, ledger scrutiny, client code modifications, KYC/AML checks, margin reporting, and FDR verifications.
• Finalize audit reports and observations with a focus on regulatory compliance, professional language, and client clarity.

3. TEAM & MIS MANAGEMENT

• Supervise a team of article assistants and junior staff.
• Ensure efficient task allocation, monitoring, and review.
• Maintain a Team Performance MIS, capturing completion status, delays, and team member resistance.
• Submit monthly reporting of team performance, audit status, and other deliverables to the Partners.

4. REGULATORY MONITORING & TEAM DEVELOPMENT

• Stay updated with applicable regulatory changes from SEBI, NSE, BSE, MCX, CDSL, and NSDL.
• Maintain a compliance applicability matrix for each client.
• Conduct internal training and compliance briefings to upskill the team.

5. SKILLS, COMPETENCIES & TECHNICAL PROFICIENCY

• Proficient in Microsoft Excel (pivot tables, VLOOKUP, MIS formatting).
• Proficient in Word (report templates, formatting) and PowerPoint (compliance decks, presentations).
• Skilled in professional email drafting, regulatory documentation, and client communication.
• Familiarity with data analysis tools such as KNIME, Power BI, and IDEA is an added advantage.
• Experience with broking back-office software is a plus.

6. CORE COMPETENCIES

• Strong understanding of SEBI/Exchange/Depository guidelines, audit procedures, and compliance frameworks.
• Effective in multi-client handling, team management, and maintaining high-quality outputs consistently.
• High level of professional scepticism, analytical acumen, and a proactive learning mindset.
• Strong documentation skills, attention to detail, and timely execution.

Pay: ₹700,000.00 - ₹800,000.00 per year

Benefits:

• Health insurance

Work Location: In person