K
Team Member - Core Compliance
Kotak Securities
Hinganghāt
Full-Time
1-4 Years experience
Description
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 reportings 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
Eligibility Criteria
- Experience: 1+ year
- Seniority: Mid Level
- Languages: English
About Kotak Securities
subsidiary of Kotak Mahindra Bank