Core Compliance Job in Navi Mumbai at Kotak Securities Ltd

Job Description:

• Implementation of circulars issued by SEBI, Exchanges & DPs
• Responding to queries of operations and business team
• Compliance review of various products
• Representation to regulators on various issues and
• Managing regulatory submissions/queries received from regulators
• Ensuring compliance requirements as per Exchange/SEBI Regulations
• Ensuring regulatory submissions are adequate and timeline is maintained
• Review of various policies as per regulatory change
• Ensuring compliances with respect to SEBI PIT Regulations
• Implementation and corrective actions for regulatory observations
• Reviewing and updating internal documents and SOPs as per applicable guidelines
• Ensuring adequate MIS reporting on various compliance aspects
• Driving compliance culture and collaborative approach with stakeholders
• Well – versed with digital client onboarding process
• Analytical mindset and process driven approach
• Soft skills & presentation are must

Kotak Securities is one of the oldest and trusted equity brokerages in India, established in 1994. As a subsidiary of Kotak Mahindra Bank Ltd., we provide our customers with opportunities in the capital markets, smart technology, and useful insights to make successful investments.