Regulatory Compliance Manager

Nuvama Group · India

Key Responsibilities:

1. Regulatory Review & Business Impact Assessment

• Examine regulations governing Stock Brokers, Research Analysts, Investment Advisers, and Alternative Investment Funds (AIFs) from a business and operational perspective.
• Identify regulatory challenges, assess business implications, and provide actionable recommendations to management.

1. Data Analysis & Management Reporting

• Analyze internal business and compliance data to identify trends, exceptions, and areas of concern.
• Prepare insightful reports, dashboards, and presentations for senior management to support decision-making.

1. Regulatory Enforcement & Compliance Monitoring

• Review past SEBI orders, enforcement actions, and regulatory observations to identify common violations and compliance gaps.
• Evaluate existing internal processes and controls against regulatory expectations and recommend enhancements.

1. Process Automation & Digital Transformation

• Collaborate with technology, operations, and compliance teams to drive automation initiatives and implement Robotic Process Automation (RPA) solutions.
• Identify opportunities to improve efficiency, accuracy, and scalability of compliance and monitoring processes.

1. Risk Identification & Surveillance

• Conduct analysis of internal data to identify potential risks, red flags, anomalies, and suspicious patterns.
• Develop and strengthen monitoring frameworks to support proactive risk management.

1. Regulatory Circular Review & SOP Development

• Review exchange circulars, regulatory guidelines, and industry developments on an ongoing basis.
• Draft, update, and maintain Standard Operating Procedures (SOPs), policies, and compliance frameworks in line with regulatory requirements.

Experience: 5 to 10 years

Preferred Skills & Competencies

• Strong understanding of SEBI regulations, exchange guidelines, and financial market intermediaries.
• Analytical mindset with proficiency in data analysis and reporting.
• Ability to interpret regulatory developments and translate them into practical business solutions.
• Experience in compliance monitoring, risk assessment, and process improvement.
• Knowledge of automation tools, RPA, and data visualization platforms is an advantage.
• Strong stakeholder management, communication, and drafting skills.