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 /n Requirements : /n /n

- Implementation of circulars issued by SEBI, Exchanges & DPs

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- Responding to queries of operations and business team

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- Compliance review of various products

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- Representation to regulators on various issues and  Managing regulatory inspection and queries received from regulators

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- Responding to regulatory inquiries and data requests  Ensuring compliance requirements as per Exchange/SEBI Regulations

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- Handling internal audits/ system audit/ cyber security audits and submission

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- Ensuring regulatory submissions are adequate and timeline is maintained

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- Review of various policies as per regulatory change

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- Ensuring compliances with respect to SEBI PIT Regulations

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- Implementation and corrective actions for regulatory observations

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- Ensuring regulatory approvals for advertisements

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- Reviewing and updating internal documents and SOPs as per applicable guidelines  Ensuring adequate MIS reporting on various compliance aspects

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- Driving compliance culture and team-oriented approach with stakeholders

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- Well – versed with digital client onboarding process

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📌 Compliance Lead (Mumbai)
🏢 Kotak Neo
📍 Mumbai