Examine regulations governing Stock Brokers, Research Analysts, Investment Advisers, and Alternative Investment Funds (AIFs) from a business and operational perspective.
Identify regulatory challenges, assess business implications, and provide actionable recommendations to management.
Data Analysis & Management Reporting
Analyze internal business and compliance data to identify trends, exceptions, and areas of concern.
Prepare insightful reports, dashboards, and presentations for senior management to support decision-making.
Regulatory Enforcement & Compliance Monitoring
Review past SEBI orders, enforcement actions, and regulatory observations to identify common violations and compliance gaps.