Avp – Clearing Compliance

3 days ago

Mumbai, Maharashtra, India Nuvama Group Full time
Nuvama Group is seeking a highly motivated and detail-oriented compliance professional to join our team.

The selected candidate will be responsible for overseeing and ensuring regulatory compliance within our Professional Clearing Member (PCM) operations.

This role requires a deep understanding of SEBI regulations, exchange requirements (NSE, BSE, MCX), and clearing processes.

Responsibilities: Ensure compliance with all SEBI, NSE, BSE, NCDEX and MCX regulations applicable to Professional Clearing Members.

Monitor and manage day-to-day clearing compliance activities related to Professional Clearing Member Liaise with internal stakeholders (operations, risk, legal) and external regulators for audits, inspections, and inquiries.

Handling of Internal Audits and Regulatory Inspections, coordination with Regulators till closure of inspection including responses on queries / observations Track and interpret regulatory circulars, ensure timely implementation, Maintenance and up-dation of Policies, Manual and SOPs as per the Regulatory and internal requirements.

Conduct periodic compliance reviews, risk assessments, and reporting for clearing operations.

KYC/AML Compliance: Ensure compliance with Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations.

Handle regulatory filings and submissions in coordination with internal stakeholders and ensure accurate and timely submissions Monitor capital adequacy, margin reporting, and settlement obligations in line with PCM norms.

Coordinate with clients regarding compliance requirements and ensure adherence.

Lead or support internal training and awareness sessions on relevant compliance topics.

Experience: 8–12 years, with strong exposure to Professional Clearing Member (PCM) operations and compliance Qualification: CS/CA/MBA

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