Team Member - Core Compliance

Kotak Securities · Mumbai

Source and collection record

Last observed by our collector: 8 October 2026 at 11:38 pm IST. This is not a manual review or a confirmation from the employer.

Job type and experience labels are automated discovery categories. The employer determines eligibility. Original experience wording was not retained separately; check the current employer page.

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Attendance and availability: I checked the employer page for work location, office attendance, start date and duration.Current requisition: I checked the current employer requisition and its application requirements.

0 of 2 checks marked. Keep unresolved requirements as questions for the employer.

Collected role description

<table class="MsoTableGrid" border="1" cellspacing="0" cellpadding="0" width="0" style="width:460.55pt;border:none;"> <tbody><tr> <td width="614" valign="top" style="width:460.55pt;border:solid 1pt;padding:0cm 5.4pt 0cm 5.4pt;"> Sending and implementing circulars of SEBI, Exchanges, Depositories </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Account opening queries including of NRI and approving various processes of account opening </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Handling compliance on Insider Trading Regulations (employee trading) </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Review of various policies of the organization </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> PMS Compliances including half yearly and Disclosure documents </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Making representation to Regulators. </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Making submissions of various regulatory reportings to Regulators. </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Handling Inspection/Internal Audits/System Audit/Cyber audit </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Research regulations related compliance </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Handling Sebi/Exchange investigations </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Replying to Surveillance related mails from Regulators </td> </tr> <tr> <td width="614" valign="top" style="width:460.55pt;border-right:1pt solid;border-bottom:1pt solid;border-left:1pt solid;padding:0cm 5.4pt;"> Reply to Observation letters/show cause notices </td> </tr> </tbody></table>

Collected experience requirement

1 - 7 Years