HO Ops - Sec. Backoff - Team Manager - West

Role overview

HO Ops - Sec. Backoff - Team Manager - West at Kotak Securities

Responsibilities

• Coordinate with the different inhouse teams , inspection team and seniors for data requirement and closure of observations.
• Execute operational risk assessment of various departments as part of control assurance.
• Review of SOAX activities of various departments.

Employment details

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

Additional role details

• Audits
• Handling various Audits (Internal Audit, PMS audit, Statutory Audit, Sebi Audit ,Exchange Inspections) ensuring timely closures and maintaining the standard ratings.
• Prepare RCSA basis risk assessment including the recommended controls to mitigate identified risks.
• 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.
• 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 .