Compliance Lead

Kotak Neo; Mumbai; On-site; INR 1,400,000 - 2,600,000; Full time

Job summary

Kotak Neo seeks a Compliance Lead with 8-14 years of experience to drive regulatory adherence and risk management across the organization. The role focuses on SEBI circulars, product compliance, and regulator interactions, with a strong emphasis on audits and data requests.

Ideal candidates hold CA/CS/MBA qualifications and will work closely with operations, business teams, and stakeholders to maintain compliance timelines and enhance the control environment.

Qualifications

• 8-14 years of experience in compliance leadership or similar roles.
• Strong understanding of SEBI, Exchanges and DP circulars and regulatory expectations.
• Experience in audits, inspections, and regulator interactions.
• Ability to drive compliance culture and partner with business units across the organization.

Responsibilities

• Implement circulars issued by SEBI, Exchanges & DPs
• Respond to queries of operations and business team
• Compliance review of various products
• Representation to regulators on various issues and managing regulatory inspections and queries from regulators
• Responding to regulatory inquiries and data requests; ensuring compliance timelines
• Handling internal/system/cyber security audits and submissions
• Ensuring regulatory submissions are adequate and timely
• Reviewing policies per regulatory changes and SEBI PIT Regulations
• Implementing corrective actions for regulatory observations
• Ensuring approvals for advertisements
• Updating internal documents and SOPs per guidelines; ensuring MIS reporting
• Driving compliance culture with stakeholders
• Digital client onboarding process oversight

Skills

Compliance management

Risk assessment

Regulatory adherence

Regulatory submissions

Stakeholder collaboration

Education

CA/CS/MBA

Job description

We are currently seeking a Compliance Lead with 8-14 years of experience to join our organization. The ideal candidate should possess strong expertise in compliance management, risk assessment, and regulatory adherence. CA, CS, or MBA qualifications are preferred.

Requirements :

• Implementation of circulars issued by SEBI, Exchanges & DPs
• Responding to queries of operations and business team
• Compliance review of various products
• Representation to regulators on various issues and Managing regulatory inspection and queries received from regulators
• Responding to regulatory inquiries and data requests Ensuring compliance requirements as per Exchange/SEBI Regulations
• Handling internal audits/ system audit/ cyber security audits and submission
• Ensuring regulatory submissions are adequate and timeline is maintained
• Review of various policies as per regulatory change
• Ensuring compliances with respect to SEBI PIT Regulations
• Implementation and corrective actions for regulatory observations
• Ensuring regulatory approvals for advertisements
• Reviewing and updating internal documents and SOPs as per applicable guidelines Ensuring adequate MIS reporting on various compliance aspects
• Driving compliance culture and collaborative approach with stakeholders
• Well – versed with digital client onboarding process