Job Description

Key Responsibilities

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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 current 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.
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Experience: 3 to 5 years

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Qualification: Any Post Graduate

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Required Skills

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Robust 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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Valuable 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 (India)
🏢 Nuvama Group
📍 India