Job DescriptionKey Responsibilities

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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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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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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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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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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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nExperience: 5 to 10 years

NPreferred Skills & Competencies

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Solid understanding of SEBI regulations, exchange guidelines, and financial market intermediaries.
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Analytical mindset withproficiency 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 automationtools, RPA, and data visualization platforms is an advantage.
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Robust stakeholder management, communication, and drafting skills.
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📌 Hiring: Regulatory Compliance Manager Alibag (India)
🏢 Nuvama Group
📍 India