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 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 /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.

/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 Ap Compliance Mumbai
🏢 Nuvama Group
📍 Mumbai