Compliance Expert for Capital Markets

3 days ago


Mumbai, Maharashtra, India Nuvama Group Full time
Job Overview

Nuvama Group is seeking a highly experienced Compliance Specialist to join our team. This role involves ensuring adherence to regulatory frameworks, developing internal policies and procedures, and monitoring compliance across capital markets.

About the Role

We are looking for a skilled professional with 5-8 years of experience in compliance within capital markets or institutional equities. The ideal candidate will have a strong understanding of SEBI regulations, RBI guidelines, and other relevant laws.

Key Responsibilities
  • Regulatory Compliance:
    • Ensure timely submission of regulatory filings and disclosures.
    • Liaise with regulatory authorities on various compliance matters.
  • Internal Policies and Procedures:
    • Develop and implement effective compliance policies and procedures.
    • Conduct periodic reviews and updates of compliance manuals and governance documents.
  • Monitoring & Surveillance:
    • Set up monitoring mechanisms to ensure compliance with internal policies.
Qualifications and Skills
  • Bachelor's or Master's degree in Law, Finance, Business Administration, or related field.
  • Strong understanding of SEBI regulations and other relevant capital markets regulations.
  • High level of accuracy in compliance monitoring and regulatory filings.
  • Ability to analyze complex regulatory frameworks and operational data.
  • Strong verbal and written communication skills for interacting with regulators, clients, and internal stakeholders.
  • Familiarity with compliance management systems and surveillance tools for capital markets.
What We Offer

The estimated salary for this role is ₹30-₹45 lakhs per annum, depending on qualifications and experience. Nuvama Group offers a comprehensive benefits package, including medical insurance, retirement plans, and opportunities for professional growth and development.


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