Kotak Neo
Website:
kotakcommodities.com
Company:
https://www.linkedin.com/company/kotakneo
Seniority: Mid-Senior level
Industries: Financial Services
Job details:
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
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