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 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 recent 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
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 (India)
🏢 Nuvama Group
📍 India