: Compliance Manager - Kotak Mahindra Bank

Job Title

Manager / Senior Manager - Compliance

Location

Mumbai

Key Responsibilities

Regulatory Compliance & Advisory

- Provide compliance guidance to business and support functions on applicable RBI regulations, banking laws, and internal policies.
- Review new products, processes, initiatives, and business propositions from a regulatory compliance perspective.
- Interpret regulatory circulars and assess their impact on banking operations.

Monitoring & Testing

- Conduct periodic compliance monitoring and testing to identify potential compliance gaps.
- Track closure of compliance observations and remediation plans.
- Prepare compliance reports, dashboards, and management updates.

Regulatory Change Management

- Monitor regulatory developments issued by RBI, SEBI, IRDAI, NPCI, FIU-IND, and other regulatory bodies.
- Facilitate implementation of regulatory changes across relevant stakeholders.
- Maintain compliance trackers and regulatory inventory.

Audit & Inspection Support

- Coordinate with Internal Audit, Statutory Auditors,



and Regulatory Inspectors for compliance-related matters.
- Support submission of information and responses during regulatory inspections and audits.
- Ensure timely closure of audit and inspection observations.

Policy Governance

- Assist in drafting, reviewing, and updating compliance policies, procedures, and frameworks.
- Drive awareness and training programmes on compliance requirements across the organisation.
- Promote a strong compliance culture and ethical conduct.

Behavioural Skills

- Robust analytical and problem-solving abilities.
- Excellent stakeholder management and interpersonal skills.
- Effective written and verbal communication.
- High attention to detail and regulatory mindset.
- Ability to manage multiple priorities in a dynamic environment.

Preferred Industry Experience

- Banks (Private, Foreign or Public Sector)
- NBFCs
- Financial Services Organisations Consulting firms with Banking Compliance practice

Grade: M4/M5 (based on experience and internal benchmarking)

📌 Team Member - Compliance-SUPPORT SERVICES-Compliance (Mumbai)
🏢 Kotak Securities
📍 Mumbai