Assistant Manager - AP Compliance

Nuvama GroupMumbai, IndiaPosted 18d ago

Jobs by Adzuna

Key Responsibilities Plan and conduct periodic inspections of Authorized Persons (APs) and branches as per Exchange and SEBI regulatory requirements. Follow up with external auditors for closure of audit observations and reports. Track closure of inspection observations and ensure timely implementation by APs. Ensure timely communication and follow-up on audit and compliance matters. Submissions of regulatory reports to the exchanges. Verify compliance with Exchange circulars, SEBI regulations,…

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