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