Job DescriptionKey Responsibilities:
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Regulatory Review& Business Impact Assessment N
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 Reporting N
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 Monitoring N
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 Transformation N
Collaborate with technology, operations,



and compliance teams to drive automation initiatives and implement Robotic Process Automation (RPA) solutions. N
Identify prospects to improve efficiency, accuracy, and scalability of compliance and monitoring processes. N
Risk Identification & Surveillance N
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 Development N
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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Solid understanding of SEBI regulations, exchange guidelines, and financial market intermediaries. N
Analyti

📌 Regulatory Compliance Manager Alibag
🏢 Nuvama Group
📍 Alibag