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23 Kotak Securities Jobs
Urgent Hiring For Core Compliance
3-8 years
₹ 3 - 7.5L/yr
Mumbai
10 vacancies
Urgent Hiring For Core Compliance
Kotak Securities
posted 37min ago
Job Role Insights
Fixed timing
Key skills for the job
Job Description
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
Employment Type: Full Time, Permanent
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