Key Responsibilities /n /n

- Plan and conduct periodic inspections of Authorized Persons (APs) and branches as per Exchange and SEBI regulatory requirements.

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- Follow up with external auditors for closure of audit observations and reports.

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- Track closure of inspection observations and ensure timely implementation by APs.

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- Ensure timely communication and follow-up on audit and compliance matters.

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- Submissions of regulatory reports to the exchanges.

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- Verify compliance with Exchange circulars, SEBI regulations, and the Stock Broker's internal policies.

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- Prepare detailed inspection reports with observations, risk ratings, and corrective action recommendations for APs and Branches.

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- Liaise with Business, Operations, Other teams and Exchanges for AP and Branch related activities.

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- Respond to operational and business-related queries on a day-to-day basis.

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- Maintain inspection documentation and evidence for regulatory review.

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- Monitor new SEBI and Exchange circulars and update inspection checklists accordingly.

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- Support regulatory inspections and provide information requested by Exchanges and SEBI.

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- Open to travel for AP and branch audits.

/n /n /n Experience: 3 to 5 years /n Qualification: Any Post Graduate /n /n Required Skills /n /n

- Solid knowledge of SEBI, NSE, and BSE regulations governing Stock Brokers and Authorized Persons.

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- Experience in compliance, audit, inspection, or risk management.

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- Analytical and report-writing skills.

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- Ability to identify regulatory and operational risks.

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- Good communication and stakeholder management skills.

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- Proficiency in MS Excel, Word, and PowerPoint.

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- NISM certifications relevant to compliance and securities markets are desirable.

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