Job Title

Purpose of the role:We are looking for a seasoned Compliance Officer to oversee regulatory adherence and provide compliance guidance to our Institutional Equities business. The role demands a proactive, detail-oriented professional who can independently manage regulatory interactions, advise the front office, and ensure the firm’s operations align with SEBI, NSE/BSE, and global institutional standards.Experience: 8+ years Qualifications: Company Secretary/ MBA/ CA/ /LLBFunctional Responsibilities / KPIs :Regulatory Oversight & InterfaceEnsure adherence to SEBI (Insider Trading, and Stock Broker) regulations and circulars issued by NSE/BSE.Represent Nuvama during SEBI/Exchange inspections and respond to regulatory queries in coordination with operations, Legal and Risk teams.Business Compliance SupportAct as a trusted advisor to the Institutional Equities team, including Sales, Dealing, on day-to-day compliance matters.Provide timely compliance approvals to Operations and Risk Team License & Registration ManagementMaintain and manage licenses and registrations for institutional brokers, and sales personnel as per SEBI and exchange requirements.Ensure timely application, renewal, and record-keeping for NISM certifications, SEBI registrations, and related regulatory filings.Monitor changes in regulatory guidelines impacting broking business licensing and implement necessary compliance controls.Digital Recordkeeping & Audit Trail SystemsProficient in using electronic compliance repositories (e.g., SharePoint, Archer GRC, or in-house systems) for maintaining audit trails of regulatory filings, internal approvals, and licenses.Ability to manage version control and metadata tagging for compliance documents.Policy & ControlsDraft and update policies and Standard Operating Procedures (SOPs) in line with changing regulations.Ensure business processes are aligned with internal compliance frameworks and regulatory expectations.Training & CertificationConduct regular compliance trainings and regulatory updates for institutional business employees.Monitor NISM certifications and registration requirements for dealers and other key personnel.Documentation & ReportingMaintain comprehensive records of compliance approvals, regulatory communications, audit reports, and policy documents.Prepare MIS and reports for internal stakeholders and regulators.Functional competencies:Deep knowledge of Indian capital market regulations.Strong communication and interpersonal skills to engage with senior management and regulators.Ability to interpret complex regulations and apply them pragmatically in business scenarios.Familiarity with tools like NSE SMART, CERSAI, STR filing portals.