Team Member - Core Compliance

Role overview

Team Member - Core Compliance at Kotak Securities

Responsibilities

• Review of various policies of the organization

Employment details

• Location: Kotak Infiniti [Mumbai] [Maharashtra] [India]

Additional role details

• Sending and implementing circulars of SEBI, Exchanges, Depositories
• Account opening queries including of NRI and approving various processes of account opening
• Handling compliance on Insider Trading Regulations (employee trading)
• PMS Compliances including half yearly and Disclosure documents
• Making representation to Regulators.
• Making submissions of various regulatory reportings to Regulators.
• Handling Inspection/Internal Audits/System Audit/Cyber audit
• Research regulations related compliance
• Handling Sebi/Exchange investigations
• Replying to Surveillance related mails from Regulators
• Reply to Observation letters/show cause notices