Franchisee - Team Member - Compliance - Bangalore- IJP (Bengaluru)

Franchisee - Team Member - Compliance - Bangalore- IJP (Bengaluru)

24 Oct
|
Kotak Securities
|
Bengaluru

24 Oct

Kotak Securities

Bengaluru

- Coordinating with franchisees to obtain feedback on pre-trade consents of clients

- Coordinating with franchisees on obtaining replies on audit queries and ensure closure of query on a timely basis

- Ensuring all Authorized Persons are compliant with regulatory requirements and the same is facilitated

- Training all APs on updated regulatory requirements frequently

- Coordinating with State Heads to ensure timely closure of audit queries

- Monitoring social media handles of Authorized Persons and reporting the same to respective State Heads in case of any non-compliance

📌 Franchisee - Team Member - Compliance - Bangalore- IJP (Bengaluru)
🏢 Kotak Securities
📍 Bengaluru

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