Key Responsibilities

- Plan and conduct periodic inspections of Authorized Persons (APs) and branches as per Exchange and SEBI regulatory requirements.
- Follow up with external auditors for closure of audit observations and reports.
- Track closure of inspection observations and ensure timely implementation by APs.
- Ensure timely communication and follow-up on audit and compliance matters.
- Submissions of regulatory reports to the exchanges.
- Verify compliance with Exchange circulars, SEBI regulations, and the Stock Broker's internal policies.
- Prepare detailed inspection reports with observations, risk ratings, and corrective action recommendations for APs and Branches.
- Liaise with Business, Operations, Other teams and Exchanges for AP and Branch related activities.
- Respond to operational and business-related queries on a day-to-day basis.
- Maintain inspection documentation and evidence for regulatory review.




- Monitor current SEBI and Exchange circulars and update inspection checklists accordingly.
- Support regulatory inspections and provide information requested by Exchanges and SEBI.
- Open to travel for AP and branch audits.

Experience: 3 to 5 years

Qualification: Any Post Graduate

Required Skills

- Strong knowledge of SEBI, NSE, and BSE regulations governing Stock Brokers and Authorized Persons.
- Experience in compliance, audit, inspection, or risk management.
- Analytical and report-writing skills.
- Ability to identify regulatory and operational risks.
- Good communication and stakeholder management skills.
- Proficiency in MS Excel, Word, and PowerPoint.
- NISM certifications relevant to compliance and securities markets are desirable.

📌 Assistant Manager - AP Compliance (Mumbai)
🏢 Nuvama Group
📍 Mumbai