Details of the Organization

Nuvama Group (formerly Edelweiss Wealth Management) is backed by the trust and reputation earned through over 25+ years in the Indian market and strengthened by a global partnership with PAG, a firm that has been advancing the world of private equity, real assets and credit & markets, in the APAC region for over 2 decades now.

Details of the Job/Internship

Nuvama Group is hiring for the position of Compliance Officer - Capital Markets Compliance with 5+ years of experience to join their office in Mumbai. 

Role and Responsibilities

• Regulatory Compliance
• Ensure full compliance with SEBI (Registrar and Share Transfer Agents) Regulations, Companies Act, and other applicable statutory frameworks.
• Stay abreast of regulatory developments and implement necessary changes to internal processes and controls.
• Prepare and file mandatory reports, disclosures, and compliance statements with SEBI, stock exchanges, depositories, and other regulatory bodies.
• Serve as the primary liaison for regulatory authorities on all compliance matters.
• Investor Grievance & Risk Management
• Manage and resolve investor complaints in accordance with SEBI guidelines and internal policies.
• Implement and monitor risk control mechanisms to prevent non-compliance or regulatory breaches.
• Ensure organization-wide compliance with AML (Anti-Money Laundering) and KYC (Know Your Customer) norms.
• Internal Audits & Reporting
• Conduct internal audits and ongoing compliance checks across all RTA-related functions.
• Coordinate with external auditors and ensure smooth execution of regulatory audits.
• Maintain comprehensive documentation and records of all compliance-related activities.
• Process & Policy Implementation
• Develop, maintain, and update compliance policies and standard operating procedures (SOPs).
• Identify process inefficiencies or compliance risks and recommend corrective actions.
• Lead training programs to educate employees on regulatory requirements and compliance best practices.

Eligibility

• Bachelor’s or Master’s degree in Law, Finance, Business Administration, or related disciplines.
• Minimum 5 years of experience in RTA operations, compliance, or regulatory affairs.
• In-depth knowledge of:
• SEBI regulations
• Companies Act
• AML/KYC norms
• Other relevant compliance frameworks
• Proven track record in managing investor grievances and regulatory audits.
• Strong analytical, communication, and problem-solving skills.
• Proficiency in compliance management tools and reporting software.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Mumbai, Maharashtra, India.