Job DescriptionKey Responsibilities
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- 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

nExperience: 3 to 5 years
nQualification: Any Post Graduate
nRequired Skills
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- Solid 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
- Good communication and stakeholder management skills.n
- Proficiency in MS Excel, Word, and PowerPoint.n
- NISM certifications relevant to compliance and securities markets are desirable.n

📌 Assistant Manager (Raigarh)
🏢 Nuvama Group
📍 Raigarh