Compliance Lead

Kotak Neo · India

We are currently seeking a Compliance Lead with 8-14 years of experience to join our organization. The ideal candidate should possess strong expertise in compliance management, risk assessment, and regulatory adherence. CA, CS, or MBA qualifications are preferred.

Requirements :

• Implementation of circulars issued by SEBI, Exchanges & DPs
• Responding to queries of operations and business team
• Compliance review of various products
• Representation to regulators on various issues and  Managing regulatory inspection and queries received from regulators
• Responding to regulatory inquiries and data requests  Ensuring compliance requirements as per Exchange/SEBI Regulations
• Handling internal audits/ system audit/ cyber security audits and submission
• Ensuring regulatory submissions are adequate and timeline is maintained
• Review of various policies as per regulatory change
• Ensuring compliances with respect to SEBI PIT Regulations
• Implementation and corrective actions for regulatory observations
• Ensuring regulatory approvals for advertisements
• Reviewing and updating internal documents and SOPs as per applicable guidelines  Ensuring adequate MIS reporting on various compliance aspects
• Driving compliance culture and collaborative approach with stakeholders
• Well – versed with digital client onboarding process