We are currently seeking a Compliance Lead with 8-14 years of experience to join our organization. The ideal candidate should possess robust 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

📌 Compliance Lead (Mumbai)
🏢 Kotak Neo
📍 Mumbai