Job Description
Key Responsibilities:
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- Regulatory Review & Business Impact Assessment n

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- 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

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- Data Analysis & Management Reporting n

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- 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

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- Regulatory Enforcement & Compliance Monitoring n

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- 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

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- Process Automation & Digital Transformation n

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- 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

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- Risk Identification & Surveillance n

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- 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

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- Regulatory Circular Review & SOP Development n

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- 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

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nExperience: 5 to 10 years
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nPreferred Skills & Competencies
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- Solid understandi

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