Audits

· Handling various Audits (Internal Audit, PMS audit, Statutory Audit, Sebi Audit ,Exchange Inspections) ensuring timely closures and maintaining the standardratings.

· Coordinate with the different inhouse teams, inspection team and seniors for data requirement and closure of observations.

· Prepare RCSA basis risk assessment including the recommended controls to mitigate identified risks.

· Execute operational risk assessment of various departments as part of control assurance.

· Investigate the cases triggered at different processes and business levels.

· Tracking and Timely closure of audit actionable.

· Ensuring in meeting the regulatory requirement.

· Evaluating the processes and data as per regulatory checklists. Suggest changes to senior management using analytics to support the recommendations, actively participate in the implementations of approved changes

SOAX Management

· Manage the functioning of SOAX Toolkit entailing:





- Quarterly activity of managing SOAX.

- Review of SOAX activities of various departments.

- Guiding and training the team members for carrying out Soax activities.

- Carrying out independent testing.

Management Information System (MIS)

· Preparing and Publishing the MIS to senior management of various departments highlighting key areas of trade related activities on daily basis.

· Preparing and analyzing customer grievances data and trying to identify respective measures on the issues highlighted.

· Exception handling and reporting to the management.

· Implementing operational risk control measures and governance checks to manage and reduce risk.

· Timely review of operational processes and identify current control areas.

📌 HO Ops - Sec. Backoff - Team Manager - West (Mumbai)
🏢 Kotak Securities
📍 Mumbai