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 & DPsResponding to queries of operations and business teamCompliance review of various productsRepresentation to regulators on various issues and Managing regulatory inspection and queries received from regulatorsResponding to regulatory inquiries and data requests Ensuring compliance requirements as per Exchange/SEBI RegulationsHandling internal audits/ system audit/ cyber security audits and submissionEnsuring regulatory submissions are adequate and timeline is maintainedReview of various policies as per regulatory changeEnsuring compliances with respect to SEBI PIT RegulationsImplementation and corrective actions for regulatory observationsEnsuring regulatory approvals for advertisementsReviewing and updating internal documents and SOPs as per applicable guidelines Ensuring adequate MIS reporting on various compliance aspectsDriving compliance culture and collaborative approach with stakeholdersWell – versed with digital client onboarding process

📌 Compliance Lead (Maharashtra)
🏢 Kotak Neo
📍 Maharashtra