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

📌 Team Leader (Mumbai)
🏢 Kotak Neo
📍 Mumbai