Nuvama Group | Nuvama Group | Compliance Specialist

2 days ago


mumbai, India Nuvama Group Full time

Job description


Nuvama is hiring for a Compliance Specialist with 5-8 years of relevant compliance experience in capital markets or institutional equities.


Roles and Responsibilities:

  • Regulatory Compliance:
  • Ensure adherence to SEBI regulations, RBI guidelines, and other relevant regulatory frameworks for institutional equities and capital markets.
  • Stay updated with changes in laws, regulations, and guidelines impacting capital markets.
  • Prepare, review, and submit regulatory filings and disclosures within stipulated timelines.
  • Liaise with regulatory authorities (e.g., SEBI, RBI) on various compliance matters, inspections, and audits.
  • Internal Policies and Procedures:
  • Develop, implement, and monitor internal compliance policies and procedures to ensure regulatory adherence.
  • Conduct periodic reviews and updates of compliance manuals, codes of conduct, and other governance documents.
  • Oversee the internal audit process and ensure the closure of any compliance-related issues or gaps.
  • Monitoring & Surveillance:
  • Set up monitoring mechanisms to ensure compliance with internal policies, especially in trading, client onboarding, and reporting.


Qualifications:



  • Education: Bachelors or Masters degree in Law, Finance, Business Administration, or related field.
  • Regulatory Knowledge: Strong understanding of SEBI, and other relevant capital markets regulations.
  • Attention to Detail: High level of accuracy in compliance monitoring and regulatory filings.
  • Analytical Skills: Ability to analyze complex regulatory frameworks and operational data to ensure compliance.
  • Communication: Strong verbal and written communication skills for interacting with regulators, clients, and internal stakeholders.
  • Teamwork: Ability to work collaboratively with different business units, especially legal, risk, and operations teams.


  • Technology: Familiarity with compliance management systems and surveillance tools for capital markets.



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