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 ofcirculars 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 cooperative approach with stakeholders N
- Well – versed with digital client onboarding process N

📌 Compliance Lead (Alibag)
🏢 Kotak Neo
📍 Alibag