Job DescriptionWe 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.
nRequirements :
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- Implementation of circulars issued by SEBI, Exchanges & DPsn
- Responding to queries of operations and business teamn
- Compliance review of various productsn
- Representation to regulators on various issues and  Managing regulatory inspection and queries received from regulatorsn
- Responding to regulatory inquiries and data requests  Ensuring compliance requirements as per Exchange/SEBI Regulationsn
- Handling internal audits/ system audit/ cyber security audits and submissionn




- Ensuring regulatory submissions are adequate and timeline is maintainedn
- Review of various policies as per regulatory changen
- Ensuring compliances with respect to SEBI PIT Regulationsn
- Implementation and corrective actions for regulatory observationsn
- Ensuring regulatory approvals for advertisementsn
- Reviewing and updating internal documents and SOPs as per applicable guidelines  Ensuring adequate MIS reporting on various compliance aspectsn
- Driving compliance culture and cooperative approach with stakeholdersn
- Well – versed with digital client onboarding processn

📌 Compliance Lead (Maharashtra)
🏢 Kotak Neo
📍 Maharashtra