Urgent Hiring For Core Compliance

COMPLIANCE - JD

• 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
• Review of various policies of the organization
• PMS Compliances including half yearly and Disclosure documents
• Making representation to Regulators.
• Making submissions of various regulatory reporting's 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

Requirements :

• Immediate Joiners
• Preferred Broking Industry
• Experience in Financial industry/Capital Market/Bank/NBFC etc.
• Experience in Core Compliance only
• Graduation Compulsory

Share resumes on bhagyashree.karpe@kotak.com

+91 2242858419