Compliance Manager

4 weeks ago

Mumbai, Maharashtra, India Kotak Securities Full time

Key Responsibilities:

  • Advertisement Review : Conduct thorough reviews of advertisements in accordance with the code of advertisement.
  • Exchange and Stakeholder Coordination : Collaborate with exchanges and internal stakeholders to facilitate effective advertisement processes.
  • Account Maintenance : Maintain accurate records of account freezes/unfreezes, coordinate internally for necessary actions, and communicate relevant updates to clients and regulators.
  • Regulatory Reporting : Submit various regulatory reports to authorized bodies as required.
  • Compliance Research : Stay up-to-date with regulations related to compliance and ensure adherence.
  • Surveillance and Investigations : Handle Sebi/Exchange Surveillance/investigations, including responding to alerts, observation letters, and show cause notices.
  • Audit and Inspections : Manage internal audits and exchange inspections, ensuring seamless execution and compliance.

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