Role & responsibilities

- Manage and guide a team of Quality Auditors, ensuring audit targets, accuracy and TAT are consistently met.
- Oversee audits of VRM/Dealer calls and other client interactions covering business acquisition, investments, account opening, trading and service-related activities.
- Ensure adherence to SEBI/regulatory guidelines, internal policies, processes and sales-conduct standards.
- Identify and escalate critical compliance, misselling, process and customer-impacting gaps.
- Conduct regular calibration and quality checks to ensure consistency and accuracy of audits.
- Analyse audit trends and provide actionable inputs for business improvement, including opportunities to improve conversion, client engagement, process efficiency, and customer experience.
- Identify recurring gaps and work with Business, Training, Compliance and Operations teams on corrective actions.
- Prepare and present quality MIS, key trends,



risk areas and business improvement recommendations to stakeholders.
- Drive continuous improvement in quality, compliance, customer experience and business outcomes.

Preferred candidate profile

- Good knowledge of MS Excel and PowerPoint.
- 5-8 years of experience in Quality/BFSI/Broking/Capital Markets, with 23 years in a team-handling role.
- Experience in auditing VRMs, Dealers, Relationship Managers or sales teams will be preferred.
- Robust knowledge of broking, investments and capital-market processes.
- Understanding of sales quality, compliance and customer experience.
- Strong analytical, communication and stakeholder-management skills.
- People management and coaching capabilities.
- Ability to convert audit observations into business improvement recommendations.

Interested Candidate share your CV on [email protected]

📌 Team Lead - Quality (Goregaon)
🏢 Kotak Securities (KSL)
📍 Goregaon