Job DescriptionKey Responsibilities:
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- Regulatory Review & Business Impact Assessmentn
- Examine regulations governing Stock Brokers, Research Analysts, Investment Advisers, and Alternative Investment Funds (AIFs) from a business and operational perspective.n
- Identify regulatory challenges, assess business implications, and provide actionable recommendations to management.n
- Data Analysis & Management Reportingn
- Analyze internal business and compliance data to identify trends, exceptions, and areas of concern.n
- Prepare insightful reports, dashboards, and presentations for senior management to support decision-making.n
- Regulatory Enforcement & Compliance Monitoringn
- Review past SEBI orders, enforcement actions, and regulatory observations to identify common violations and compliance gaps.n
- Evaluate existing internal processes and controls against regulatory expectations and recommend enhancements.n
- Process Automation & Digital Transformationn
- Collaborate with technology, operations,



and compliance teams to drive automation initiatives and implement Robotic Process Automation (RPA) solutions.n
- Identify opportunities to improve efficiency, accuracy, and scalability of compliance and monitoring processes.n
- Risk Identification & Surveillancen
- Conduct analysis of internal data to identify potential risks, red flags, anomalies, and suspicious patterns.n
- Develop and strengthen monitoring frameworks to support proactive risk management.n
- Regulatory Circular Review & SOP Developmentn
- Review exchange circulars, regulatory guidelines, and industry developments on an ongoing basis.n
- Draft, update, and maintain Standard Operating Procedures (SOPs), policies, and compliance frameworks in line with regulatory requirements.n

nExperience: 5 to 10 years
nPreferred Skills & Competencies
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- Robust understanding of SEBI regulations, exchange guidelines, and financial market intermediaries.n
- Analytical mindset with prof

📌 Regulatory Compliance Manager (Raigarh)
🏢 Nuvama Group
📍 Raigarh