Job Description

Key Responsibilities:

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1. Regulatory Review & Business Impact Assessment
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- Examine regulations governing Stock Brokers, Research Analysts, Investment Advisers, and Alternative Investment Funds (AIFs) from a business and operational perspective.
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- Identify regulatory challenges, assess business implications, and provide actionable recommendations to management.
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1. Data Analysis & Management Reporting
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- Analyze internal business and compliance data to identify trends, exceptions, and areas of concern.
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- Prepare insightful reports, dashboards, and presentations for senior management to support decision-making.
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1. Regulatory Enforcement & Compliance Monitoring
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- Review past SEBI orders, enforcement actions, and regulatory observations to identify common violations and compliance gaps.
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- Evaluate existing internal processes and controls against regulatory expectations and recommend enhancements.
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1. Process Automation & Digital Transformation
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- Collaborate with technology, operations, and compliance teams to drive automation initiatives and implement Robotic Process Automation (RPA) solutions.
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- Identify opportunities to improve efficiency, accuracy, and scalability of compliance and monitoring processes.
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Risk Identification & Surveillance
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- Conduct analysis of internal data to identify potential risks, red flags, anomalies, and suspicious patterns.
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- Develop and strengthen monitoring frameworks to support proactive risk management.
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1. Regulatory Circular Review & SOP Development
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- Review exchange circulars, regulatory guidelines, and industry developments on an ongoing basis.
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- Draft, update, and maintain Standard Operating Procedures (SOPs), policies, and compliance frameworks in line with regulatory requirements.
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Experience: 5 to 10 years

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Preferred Skills & Competencies

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- Robust understanding of SEBI regulations, exchange guidelines, and financial market intermediaries.
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- Analytical mindset with proficiency in data analysis and reporting.
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- Ability to interpret regulatory developments and translate them into practical business solutions.
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- Experience in compliance monitoring, risk assessment, and process improvement.
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- Knowledge of automation tools, RPA, and data visualization platforms is an advantage.
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- Strong stakeholder management, communication, and drafting skills.
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📌 Regulatory Compliance Manager (Mumbai)
🏢 Nuvama Group
📍 Mumbai