Purpose of the role: We are seeking a detail-oriented and proactive Legal Repository & Contract Lifecycle Management (CLM) Specialist to manage and oversee the company’s contract repository, ensure efficient contract lifecycle management, and maintain compliance with legal and regulatory requirements. The ideal candidate will have expertise in contract management systems, legal document organization, version control, compliance tracking, and basic contract vettin g . Key Responsibilitie s:1. Contract Lifecycle Management (CLM ):Overse e end-to-end contract lifecyc le, including initiation, execution, renewal, and terminatio n.Ensure all contracts ar e properly categorized, stored, and easily retrievab le within the legal repositor y.Trac k contract obligations, milestones, renewals, and expiratio ns, and provide timely alerts to stakeholder s.Collaborate with internal departments (business, finance, tech, sales, etc.) to ensure contract complianc e.2. Legal Repository Managemen t:Maintain and update th e contract repository and document management system (DM S ).Implement best practices fo r contract storage, indexing, and metadata taggi ng to ensure easy access and retrieva l. 3. Process Optimization & Automati on:Upkeep and management of software based central contract repository/contract management system including uploading of electronic copies of executed contracts in the system, capturing relevant data relating to contracts in the system and performing such other functions with respect to contract management as directed from time to ti me.Provi de supp ort to internal teams on contract repository usage and best practic es.4. Reporting & Analyti cs:Generate and prese nt contract-related reports, dashboards, and key performance indicators (KP I s). Show more Show less

About Nuvama Institutional Equities Nuvama Institutional Equities, a division of Nuvama Group (formerly Edelweiss Wealth Management), is a leading provider of institutional broking and equity research services. We deliver cutting-edge equity insights and high-quality execution services to a wide array of domestic and global institutional clients. Compliance plays a critical role in upholding our commitment to integrity and market excellence. Role Overview We are looking for a seasoned Senior 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. Key Responsibilities: Regulatory Oversight & Interface Ensure adherence to SEBI (Intermediaries, Insider Trading, Research Analyst, PMS, and Stock Broker) regulations and circulars issued by NSE/BSE. Represent Nuvama during SEBI/Exchange inspections and respond to regulatory queries in coordination with Legal and Risk teams. Business Compliance Support Act as a trusted advisor to the Institutional Equities team, including Sales, Dealing, Research, and Corporate Access, on day-to-day compliance matters. Provide timely compliance approvals (e.g., research publications, investor meets, analyst interactions). License & Registration Management Maintain and manage licenses and registrations for research analysts, 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 research or broking business licensing and implement necessary compliance controls. Digital Recordkeeping & Audit Trail Systems Proficient 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 & Controls Draft 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 & Certification Conduct regular compliance trainings and regulatory updates for institutional business employees. Monitor NISM certifications and registration requirements for dealers and other key personnel. Documentation & Reporting Maintain comprehensive records of compliance approvals, regulatory communications, audit reports, and policy documents. Prepare MIS and reports for internal stakeholders and regulators. Qualifications & Skills Education: Postgraduate in Commerce, Finance, or Law; MBA or LLB or/and CS preferred. Certifications: Mandatory NISM certifications (especially for Research Analyst and Dealers); additional compliance certifications are a plus. Experience: Minimum of 8 years in capital markets compliance, with significant exposure to institutional equities in India. Key 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. Behavioral Competencies Attention to Detail Decision-Making Under Pressure Stakeholder Management Proactive Problem Solving Adaptability & Resilience Collaboration & Teamwork Accountability & Ownership Continuous Learning Mindset Show more Show less

We are seeking a driven and detail-oriented Talent Acquisition professional to manage end-to-end recruitment for junior to mid-level roles across our financial services businesses. The ideal candidate will have prior experience in volume hiring, strong stakeholder management skills, and a deep understanding of hiring dynamics in the BFSI space. Manage the full recruitment lifecycle for junior to mid-level roles across businesses Collaborate closely with business leaders and hiring managers to understand talent needs and design effective sourcing strategies Drive high-volume recruitment initiatives, ensuring quality and speed of hiring without compromising on candidate experience Develop and manage talent pipelines using a combination of job portals, social media, employee referrals, and campus channels Conduct preliminary screening and assessments to ensure fitment to both role and culture Coordinate and schedule interviews, collect feedback, and manage candidate communication throughout the process Maintain accurate and updated hiring trackers and recruitment dashboards for regular reporting. Contribute to employer branding initiatives and hiring process improvements Ensure compliance with internal hiring policies and regulatory standards Show more Show less

Position Summary: The Mutual Fund Compliance Officer is responsible for ensuring that the mutual fund’s operations, activities, and dealings comply with all the regulations, rules, and guidelines laid down by the Securities and Exchange Board of India (SEBI) and other governing authorities. This position is critical to ensuring the fund operates with the highest standards of governance, compliance, and regulatory adherence. Key Responsibilities: Regulatory Compliance: Ensure the mutual fund's operations and business activities comply with the SEBI (Mutual Funds) Regulations, SEBI (Investment Advisers) Regulations, and other applicable laws. Stay up to date with all changes to SEBI regulations and any relevant guidelines to ensure compliance with the latest requirements. Oversee regulatory filings with SEBI, AMFI, and other relevant authorities, ensuring timely submission and accurate documentation. Monitoring & Reporting: Regularly monitor the mutual fund’s activities, including investment transactions, pricing, NAV calculations, disclosures, and other fund operations, to ensure adherence to compliance standards. Review and monitor compliance with SEBI’s norms for asset management companies (AMCs), including limits on investments, disclosures, and other investor protection measures. Prepare compliance reports for management, Board of Directors, and other stakeholders as required. Internal Policies & Procedures: Develop, implement, and review the internal compliance policies and procedures to ensure they meet regulatory standards and best practices. Work with senior management to develop and maintain the fund’s code of conduct and ethics, ensuring employees and stakeholders adhere to it. Investment Compliance: Monitor the fund’s investment activities to ensure that they comply with SEBI’s investment guidelines and restrictions, including diversification norms, exposure limits, and liquidity requirements. Ensure that the Mutual Fund complies with SEBI’s regulations on disclosures of scheme-related information (e.g., investment strategies, risks, returns). Investor Protection: Ensure all investor transactions, including subscriptions, redemptions, and switches, are processed in compliance with applicable regulations. Oversee investor complaints and resolve them in accordance with the SEBI framework. Ensure timely and accurate reporting to investors as mandated by SEBI. Audits & Inspections: Facilitate and coordinate SEBI inspections and internal audits to ensure all processes meet regulatory standards. Ensure compliance with the SEBI (Mutual Funds) Regulations during the audit process and address any findings or concerns raised during audits or inspections. Training & Awareness: Conduct training and awareness programs for staff regarding SEBI regulations and internal compliance processes. Educate and update the team on any changes to mutual fund regulations or industry practices. Coordination with External Parties: Liaise with external auditors, legal advisors, and SEBI during audits, inspections, or any regulatory-related matter. Handle communication with SEBI, AMFI, and other regulatory bodies for compliance-related matters. Reporting & Documentation: Ensure all compliance-related documentation and records are maintained as per SEBI guidelines for audit purposes. Timely and accurate preparation of compliance reports, management updates, and regulatory filings. Required Qualifications & Skills: Education: CS Professional certifications such as NISM – Series I, Series II, or other relevant certifications preferred. Experience: At least 10-12 years of experience in mutual fund compliance. Strong understanding of SEBI (Mutual Funds) Regulations, Investment Laws, and industry best practices. Experience working with regulatory bodies like SEBI, AMFI, etc., and handling inspections/audits. Skills: In-depth knowledge of mutual fund products, SEBI guidelines, and compliance standards. Excellent communication skills for report writing, presenting findings, and liaising with various stakeholders. Strong analytical and problem-solving abilities. Ability to work under pressure and handle multiple tasks simultaneously. Attention to detail and a high level of accuracy. Desired Traits: Strong ethical standards and commitment to corporate governance. Proactive in keeping up with evolving regulatory changes. Ability to work independently and as part of a team. Strong organizational and time-management skills. Show more Show less

Job Summary: The primary purpose of the Executive - Billing & Payments role is to manage property lease agreements, oversee the asset lifecycle, handle accounts receivable processes, maintain the Fixed Asset Register, onboard vendors, and manage employee corporate credit cards within the Oracle system. This role ensures accurate financial record-keeping, timely payments, and compliance with company policies and procedures. Key Responsibilities : • Property Lease Management: o Create and maintain property lease agreements within the Oracle system. o Ensure accurate data entry for lease terms, commencement dates, and termination dates. o Track lease renewals and communicate deadlines to relevant parties. • Property Asset Maintenance: o Manage the property asset lifecycle within Oracle. o Oversee maintenance schedules and ensure timely repairs. o Track and record asset depreciation. • Accounts Receivable: o Generate invoices for administrative asset rentals within Oracle. o Reconcile accounts receivable and resolve discrepancies. o Manage the collection process for outstanding invoices. • Fixed Asset Register: o Maintain the Fixed Asset Register within Oracle, ensuring accuracy and completeness. o Track asset additions, disposals, and transfers. o Perform periodic reconciliations of the Fixed Asset Register. • Vendor Onboarding: o Onboard new vendors, particularly banks and foreign exchange providers o Maintain vendor information and ensure compliance with company policies. • Employee Credit Cards: o Oversee the issuance and maintenance of employee corporate credit cards. o Process and reconcile credit card payments within Oracle. o Ensure adherence to company credit card policies. Qualifications: Bachelor's degree in Commerce or a related field. Functional Competencies: • Experience with ERP Systems (preferably Oracle) • Financial Management Skills • Knowledge of Asset Management • Credit Card Management • Vendor Management Behavioural Competencies: • Analytical and Problem-Solving Skills • Attention to Detail • Time Management • Communication Skill Show more Show less

Job Responsibilities: Monitor daily trade settlements for equity and derivative segments (NSE, BSE, MCX, NCDEX, etc.) Reconcile trade positions and settlement obligations with clearing corporations. Ensure timely pay-in/pay-out of funds and securities. Coordinate with custodians, depositories (NSDL/CDSL), and banks for settlement processing. Manage margin reporting and collateral movements (pledge/re-pledge) in accordance with SEBI regulations. Identify and resolve settlement discrepancies, fails, or shortages. Generate and maintain settlement-related MIS and reports for audit and compliance. Support internal and statutory audits by providing accurate data and documentation. Stay updated on regulatory circulars and implement necessary changes in processes. Process enhancement in coordination with backoffice vendor. Key Skills & Qualifications: Graduate/Postgraduate in Finance, Commerce, or related field. 2–5 years of experience in back-office operations or trade settlement in capital markets. Strong knowledge of SEBI, exchange, and depository settlement norms. Proficiency with depository platforms (NSDL SPEED-e, CDSL Easiest) and trading systems. Good communication and coordination skills. Working knowledge of Excel and reporting tools. Preferred Certifications: NISM-Series-VII: Securities Operations and Risk Management Certification Examination Show more Show less

The role is responsible for ensuring compliance with SEBI (Prevention of Insider Trading) Regulations and overseeing related policies and processes for a listed company and SEBI registered intermediary. The individual will draft, update, and disseminate policies and FAQs, manage the approval system for employee trading, and address employee queries regarding trading activities. They will also analyze employee trades to detect violations and take corrective action. Additionally, the role involves managing conflict of interest policies and systems, ensuring proper documentation, and presenting violations or policy changes to senior management. Effective coordination with the IT team and maintaining accurate records are key aspects of the role. Experience: 7 + years Roles & Responsibilities: Thorough knowledge of SEBI (Prevention of Insider Trading) Regulations and Circulars / notifications issued thereunder from time to time • Drafting the Policies and FAQs pertaining to PIT both for a listed Company and a SEBI registered intermediary • Defining and disseminating the various processes as may be required to give effect to the provisions of above Policies • Making changes / modifications in the above policies from time to time as required and disseminating the same to all employees • Owning and maintaining / operating the System which is used to provide approvals / rejections to employees for trading in securities market. And undertaking the changes / modifications in the system as required in coordination with IT team • Obtaining the Annual Declaration from all the employees and maintaining the records of the same • Attending to various queries as may be raised by the employees pertaining to Employee trading • Analyzing the trades of the employees to identity the trades which are in violation of Policies and taking the corrective measures • Placing the changes in policies and instances of violations before the Committee / Senior Management as the case may be • Requires a broad understanding of what constitutes conflict of interest • Drafting the Policy and FAQs for (a) Employees’ personal conflict of interest and (b) Conflict of interest between various businesses of the Company • Defining and disseminating the various processes as may be required to give effect to the provisions of above Policies • Owning and maintaining / operating the System which is used to provide approvals / rejections in the conflict scenarios. And undertaking the changes / modifications in the system as required in coordination with IT team • Educating the various businesses on Conflict of interest and Company policy around it • Attending to various queries as may be raised by the employees pertaining to Conflict of interest • Placing the changes in policies and MIS on conflict scenarios before the Committee / Senior Management as the case may be Show more Show less

Responsibilities: Demonstrate 3+ years of hands-on experience trading low-risk, absolute return strategies such as skew, dispersion, long-short, relative volatility, or arbitrage across equity or commodity options, with a verifiable track record of PnL—either discretionary or systematic. Actively monitor and manage real-time portfolio risk, maintaining a comprehensive understanding of the drivers of PnL across a diversified options book. Utilize real-time market data to assess evolving market conditions and identify high-conviction trading opportunities. Contribute to the continual improvement of trading infrastructure by enhancing desk setup, tools, and workflows. Design, code, and backtest new strategy ideas to generate alpha and improve existing models. Employ quantitative methods to discover and evaluate new trading strategies or improve existing ones. Requirements: 3–6 years of experience at a trading firm, with a core focus on volatility-based or relative value strategies. Minimum 1 year of verifiable PnL track record demonstrating consistent performance. Deep knowledge of options trading and risk management, with the conviction to take and manage positions independently. Strong analytical and quantitative skills, with the ability to interpret complex market dynamics and apply them in real-time. Proficiency in programming (Python or C++ preferred) ; familiarity with additional languages, statistical tools, or data platforms is a plus. Show more Show less

We are seeking an incumbent with a valid NISM Series VI – Depository Operations certification and a basic understanding of CDSL and NSDL processes. The candidate should be familiar with key DP activities such as DIS handling, demat/remat, pledge, and account closure procedures. Exposure to systems like CDAS, EDPM, and back-office platforms like I-BEATS will be an added advantage. A willingness to learn, attention to detail, and interest in depository operations are essential. Experience: 0 to 2 years (Freshers can apply) Roles and Responsibilities: Regulatory Certification: Must possess valid NISM Series VI - Depository Operations Certification . Depository Participant (DP) Operations: Strong understanding and hands-on experience with CDSL and NSDL related operational activities. Perform BOD (Beginning of Day) and EOD (End of Day) processes for both NSDL and CDSL platforms. DP Terminals and Interfaces: Familiar with CDAS, EDPM , and Local Terminal (NSDL) environments. Upload and manage DIS entries on both CDSL and NSDL platforms. Back Office Software Knowledge: Working knowledge of I-BEATS and similar back-office platforms. Ability to troubleshoot and resolve DIS-related issues within the back-office system. Transaction Processing: Perform MAKER entries for: Delivery Instruction Slips (DIS) Pledge/Unpledge instructions DRF (Dematerialization Request Form) Freeze/Unfreeze instructions Responsible for scrutiny and accurate processing of: DRF Transmission requests Account closure Account shifting Demat / Remat / Redemption Activities: End-to-end processing of Dematerialization , Rematerialization , and Redemption transactions. Follow up with RTA in case of rejections or non-receipt of DRF within expected timelines. Transmission and RTA Coordination: Knowledge of transmission process for both CDSL and NSDL. Coordinating with RTAs for rejection cases and follow-ups. BO (Beneficial Owner) Management: Handle BO Mapping and account-level modifications as per compliance norms. DP Billing Activities: Carry out DP billing-related activities accurately and in a timely manner. Reporting & Compliance: Ensure all tasks are performed in compliance with SEBI and depository guidelines. Maintain proper audit trails and logs for all operations. Key Skills Required: Strong attention to detail and documentation. Good communication and coordination skills with RTAs and internal teams. Ability to work independently and handle high-volume operations. Familiarity with compliance requirements and audit protocols.

Purpose of the role: We are seeking a detail-oriented and proactive Legal Repository & Contract Lifecycle Management (CLM) Specialist to manage and oversee the company’s contract repository, ensure efficient contract lifecycle management, and maintain compliance with legal and regulatory requirements. The ideal candidate will have expertise in contract management systems, legal document organization, version control, compliance tracking, and basic contract vettin g Key Responsibilities: 1. Contract Lifecycle Management (CLM Oversee end-to-end contract lifecyc le, including initiation, execution, renewal, and termination. Ensure all contracts ar e properly categorized, stored, and easily retrievab le within the legal repository Trac k contract obligations, milestones, renewals, and expiratio ns, and provide timely alerts to stakeholders Collaborate with internal departments (business, finance, tech, sales, etc.) to ensure contract compliance 2. Legal Repository Management Maintain and update th e contract repository and document management system (DM S Implement best practices fo r contract storage, indexing, and metadata taggi ng to ensure easy access and retrieval 3. Process Optimization & Automation. Upkeep and management of software based central contract repository/contract management system including uploading of electronic copies of executed contracts in the system, capturing relevant data relating to contracts in the system and performing such other functions with respect to contract management as directed from time to time. Provi de supp ort to internal teams on contract repository usage and best practices 4. Reporting & Analytics Generate and prese nt contract-related reports, dashboards, and key performance indicators (KP Is).

Job Summary: The Compliance Officer ensures that the company, acting as a Registrar and Transfer Agent (RTA), complies with all regulatory requirements, internal policies, and industry best practices. This role involves monitoring compliance with SEBI (or relevant regulatory body) guidelines, investor grievance handling, reporting, audits, and internal controls. Those with experience as Trustee Officers in AMC or DP Compliance can apply too. Key Responsibilities: Regulatory Compliance: Ensure adherence to SEBI (Registrar and Share Transfer Agents) Regulations, Companies Act, and other applicable laws. Stay updated on regulatory changes and implement necessary process modifications. Prepare and file regulatory reports, disclosures, and compliance statements with relevant authorities. Liaise with SEBI, stock exchanges, depositories, and other regulatory bodies for compliance-related matters. Investor Grievance & Risk Management: Oversee investor complaint resolution as per regulatory guidelines. Implement robust risk management controls to prevent compliance breaches. Ensure compliance with anti-money laundering (AML) and Know Your Customer (KYC) norms. Internal Audits & Reporting: Conduct internal audits and compliance checks on RTA functions. Coordinate with external auditors for regulatory audits. Maintain records and ensure proper documentation of all compliance-related activities. Process & Policy Implementation: Develop and maintain compliance policies and standard operating procedures (SOPs). Train employees on regulatory compliance and best practices. Identify process gaps and recommend corrective actions. Qualifications & Skills: Bachelor's or master’s degree in law, Finance, Business Administration, or related field. 5+ years of experience in RTA operations, compliance, or regulatory affairs. Strong understanding of SEBI regulations, Companies Act, AML/KYC norms, and other compliance frameworks. Experience in handling investor grievances and regulatory audits. Excellent analytical, communication, and problem-solving skills. Proficiency in compliance management tools and reporting software. Preferred Certifications: NISM-Series-IIA (Registrar to an Issue & Share Transfer Agent) certification. Certified Compliance Professional (CCP) or equivalent.

The Compliance Officer plays a crucial role in ensuring that the company, operating as a Registrar and Transfer Agent (RTA), meets all regulatory obligations, internal policies, and industry standards. It entails overseeing compliance with SEBI guidelines, managing investor grievances, conducting audits, and enforcing internal controls. Individuals with prior experience as Trustee Officers in Asset Management Companies (AMC) or Depository Participant (DP) Compliance are encouraged to apply for this position. Key Responsibilities: Regulatory Compliance: - Guarantee compliance with SEBI (Registrar and Share Transfer Agents) Regulations, Companies Act, and relevant laws. - Stay abreast of regulatory updates and implement necessary procedural adjustments. - Prepare and submit regulatory reports, disclosures, and compliance declarations to the appropriate authorities. - Collaborate with SEBI, stock exchanges, depositories, and other regulatory entities on compliance-related issues. Investor Grievance & Risk Management: - Manage the resolution of investor complaints in accordance with regulatory directives. - Establish robust risk management mechanisms to forestall compliance violations. - Ensure adherence to anti-money laundering (AML) and Know Your Customer (KYC) regulations. Internal Audits & Reporting: - Perform internal audits and compliance assessments on RTA operations. - Coordinate with external auditors for regulatory audits. - Maintain records and ensure proper documentation of all compliance activities. Process & Policy Implementation: - Develop and uphold compliance policies and standard operating procedures (SOPs). - Provide training to staff on regulatory compliance and best practices. - Identify process deficiencies and propose remedial measures. Qualifications & Skills: - Bachelor's or master's degree in law, Finance, Business Administration, or a related field. - Minimum of 5 years of experience in RTA operations, compliance, or regulatory affairs. - Profound knowledge of SEBI regulations, Companies Act, AML/KYC norms, and compliance frameworks. - Experience in addressing investor grievances and regulatory audits. - Strong analytical, communication, and problem-solving abilities. - Proficiency in compliance management tools and reporting software. Preferred Certifications: - NISM-Series-IIA (Registrar to an Issue & Share Transfer Agent) certification. - Certified Compliance Professional (CCP) or equivalent.,