HO Ops - Sec. Backoff - Team Manager - West

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.

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Collected role description

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 new control areas.