Franchisee - Team Member - Compliance - Bangalore- IJP
Kotak Securities · Remote
Collected role description
Role overview
Franchisee - Team Member - Compliance - Bangalore- IJP at Kotak Securities
Employment details
- Location: India
Additional role details
- 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