Job Description 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.
n Requirements :
n n Implementation of circulars issued by SEBI, Exchanges & DPs
n Responding to queries of operations and business team
n Compliance review of various products
n Representation to regulators on various issues and  Managing regulatory inspection and queries received from regulators
n Responding to regulatory inquiries and data requests  Ensuring compliance requirements as per Exchange/SEBI Regulations
n Handling internal audits/ system audit/ cyber security audits and submission




n Ensuring regulatory submissions are adequate and timeline is maintained
n Review of various policies as per regulatory change
n Ensuring compliances with respect to SEBI PIT Regulations
n Implementation and corrective actions for regulatory observations
n Ensuring regulatory approvals for advertisements
n Reviewing and updating internal documents and SOPs as per applicable guidelines  Ensuring adequate MIS reporting on various compliance aspects
n Driving compliance culture and team-oriented approach with stakeholders
n Well – versed with digital client onboarding process
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📌 Compliance Lead (Raigarh)
🏢 Kotak Neo
📍 Raigarh