Job DescriptionKey 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 externalauditors 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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- 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
- Valuable 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 (Alibag)
🏢 Nuvama Group
📍 Alibag