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




n Monitor new SEBI and Exchange circulars and update inspection checklists accordingly.
n Support regulatory inspections and provide information requested by Exchanges and SEBI.
n Open to travel for AP and branch audits.
n n Experience: 3 to 5 years
n Qualification: Any Post Graduate
n Required Skills
n n Strong knowledge of SEBI, NSE, and BSE regulations governing Stock Brokers and Authorized Persons.
n Experience in compliance, audit, inspection, or risk management.
n Analytical and report-writing skills.
n Ability to identify regulatory and operational risks.
n Positive communication and stakeholder management skills.
n Proficiency in MS Excel, Word, and PowerPoint.
n NISM certifications relevant to compliance and securities markets are desirable.
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📌 Assistant Manager - AP Compliance (Raigarh)
🏢 Nuvama Group
📍 Raigarh