Job DescriptionWe are currently seeking a Compliance Lead with 8-14 years of experience to join our organization. The ideal candidate should possess solid expertise in compliance management, risk assessment, and regulatory adherence. CA, CS, or MBA qualifications are preferred.

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- Implementation ofcirculars 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 collaborative approach with stakeholders
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- Well – versed with digital client onboarding process
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📌 Compliance Lead (Alibag)
🏢 Kotak Neo
📍 Alibag