Senior Manager - Enforcement - BFSI - LLB

Job Opportunity Senior Manager (Enforcement)

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 56 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).

- 1315 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.

Whats 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.